Working with IBM Records Manager - IBM Redbooks

ibmcomredbooks

Working with IBM Records Manager

Wei-Dong ZhuSerena S ChanGuumlnther Flaig

Yi WangKeith Wheeler

R Hogg

Fundamental records management concept

Design and planning considerations

Detailed implementation and administration steps

Front cover

July 2007

International Technical Support Organization

SG24-7389-00

copy Copyright International Business Machines Corporation 2007 All rights reservedNote to US Government Users Restricted Rights -- Use duplication or disclosure restricted by GSA ADPSchedule Contract with IBM Corp

First Edition (July 2007)

This edition applies to Version 4 Release 1 Revision 3 of IBM Records Manager for Windows (product number 5724-I58)

Note Before using this information and the product it supports read the information in ldquoNoticesrdquo on page ix

Contents

Notices ixTrademarks x

Preface xiThe team that wrote this book xiiBecome a published author xivComments welcome xv

Part 1 Basic concepts and IBM Records Manager product overview 1

Chapter 1 Records management 311 What is a record 412 What is records management 513 Evolution of records management 714 The importance of records management 715 Legal consideration 816 Addressing regulatory requirements 1017 Methodology to implement an enterprise-wide

records management solution 12171 Obtaining corporate sponsorship and stakeholder buy-in 13172 Assessing and evaluating the current policies and procedures 13173 Gathering business and technical requirements 18174 Engineering business process and deploying technology 20175 Reviewing and monitoring the processes 20

Chapter 2 Retention schedule and a file plan 2121 Retention schedule 2222 Retention schedule planning and creation 23

221 Understanding companyrsquos records management policy 23222 Understanding companyrsquos records management procedures 24223 Understanding regulatory requirements 24224 Conducting records inventory 25225 Creating the retention schedule 26

23 File plan 2824 File plan planning and creation 29

Chapter 3 Declaration and classification 3331 Declaration and classification 3432 Design and planning 35

321 Auto classification design consideration 36322 Manual declaration and classification design consideration 37323 Semi-auto declaration and classification options 37

33 Planning considerations 39331 How documents are declared and classified 39332 When documents are declared and classified 39333 What happened to the declared documents 40334 Can the original owners of the documents view the records 40335 How are records retrieved or located 40336 Declare a document as multiple records 40337 Declare multiple documents as a single record (IBM Content Manager

and IBM Document Manager only) 40338 Version management (IBM Document Manager only) 41

34 Available options in IBM Document Manager 41341 Manual declaration 41342 Quick declaration 42

35 Available options in IBM CommonStore solutions 43351 Declaration modes with single and multiple selections 44352 Manual and auto classification 45353 Dragging and dropping to folders for record declaration 46354 Sending and declaring e-mail messages 46

36 Available options in IBM Content Manager 46361 Manual and auto declaration 47362 Manual and auto classification 47

Chapter 4 Security 4941 Authentication and authorization 5042 Users and user groups 50

421 Local and host users 51422 Local and host groups 54

43 Function access rights and permissions 54431 Function access rights 55432 Permissions 58433 Permission levels and inheritance 60

44 Restrictions on permissions 6445 Sample user roles and job responsibilities 65

Chapter 5 Disposition discovery and hold 6951 Records disposition 70

511 Disposition options 70512 Records scheduling and IBM Records Manager 71

52 Discovery 72521 Discovery process 74

iv Working with IBM Records Manager

522 Spoliation 75523 Security considerations 76524 The role of IBM Records Manager 76

53 Hold 77531 Reasons for using holds on records 77532 Applying holds 78533 Hold length 78

Chapter 6 IBM Records Manager system components 8161 Overview of IBM Records Manager 8262 IBM Records Manager components 83

621 IBM Records Manager engine 83622 IBM Records Manager database 83623 IBM Records Manager application programming interfaces 84624 IBM Records Manager administration client 84

63 IBM Content Manager Records Enabler 85631 IBM Content Manager Records Enabler Server 86632 IBM Content Manager Records Enabler Host Interface Application

Server 86633 Changes in IBM Records Manager Version 413 86

Part 2 Solution implementation 87

Chapter 7 Product and solution installation 8971 Before you begin 9072 Installation process overview 90

721 Installation options 91722 Version and fix packs checklist 92

73 Installing IBM Records Manager 94731 Installing IBM Records Manager V411 database 94732 Upgrading IBM Records Manager V411 database to V413 98733 Installing IBM Records Manager V413 engine 105734 Configuring IBM Records Manager engine 111

74 Installing IBM Content Manager Records Enabler 11475 Importing IBM Content Manager administration user ID to IBM Records

Manager 12176 Configuring the relation between IBM Content Manager and IBM Records

Manager 122761 Required information during the configuration 122

Chapter 8 File plan creation 12581 Overview of a file plan 126

811 File plan components 12682 Creating a file plan using IBM Records Manager 127

Contents v

821 Creating a file plan view 129822 Defining file plan components (component definitions) 131823 Defining component relationships 134824 Building the file plan 140825 Adding additional file components Sub Series 145

Chapter 9 Retention schedule creation 14791 Overview of a retention schedule 148

911 Life cycle and life cycle code 14892 Creating a retention schedule 149

921 Creating a life cycle phase 149922 Creating a life cycle code 150923 Defining life cycle dates 155

93 Applying retention rules to file plan components 163

Chapter 10 Profiles and custom attributes 167101 Profiles 168

1011 Creating a profile 1691012 Assigning a profile 171

102 Custom attributes 1721021 Creating a custom attribute 1731022 Configuring column display and populate data 175

Chapter 11 Declaration and classification configuration 179111 Preparation 180

1111 IBM Document Manager configuration 1801112 IBM Records Manager configuration 1831113 IBM Content Manager Records Enabler configuration 183

112 Configuring auto declaration and classification rules 1851121 Configuring auto declaration and classification in IBM Content

Manager Records Enabler 1851122 Configuring auto declaration and classification in IBM Document

Manager 1891123 Testing auto declaration and classification 193

113 Configuring semi-auto declaration and classification rules 1961131 Solution 1 IBM Document Manager quick declaration and

classification 1961132 Solution 2 IBM Document Manager manual declaration and IBM

Records Manager auto classification tool 204114 Declaring records in IBM Records Manager 213

Chapter 12 Search and reporting 217121 Searching in IBM Records Manager 218122 Creating custom searches (including reports) 219

vi Working with IBM Records Manager

1221 Searching for records by records declaration date 2201222 Searching for records placed on hold by hold reasons 231

123 Search hints and tips 2421231 Available search fields based on a specific search type 2421232 Searching and reporting on fields that are not available 2421233 XML and stylesheet design skills 243

124 Mapping new fields to IBM Records Manager database 243125 Additional sample reports 253

Chapter 13 Auditing and monitoring 257131 Overview of auditing 258132 Enabling auditing 260133 Sample audit entries 264

1331 Auditing add events 2641332 Auditing entries by user 267

134 Monitoring your records 273

Chapter 14 Records disposition 275141 Overview of disposition 276

1411 Disposition options 276142 Disposing records using IBM Records Manager 276

1421 Getting eligible candidates for records disposal 2771422 Narrowing the records to be disposed 2861423 Disposing records 2861424 Verifying disposed records through auditing 295

Part 3 Appendixes 297

Appendix A Function access names permissions and their abbreviations 299

Function access names and abbreviations 300Permission names and their abbreviations 301

Related publications 303IBM Redbooks 303Other publications 303Online resources 304How to get IBM Redbooks publications 304Help from IBM 304

Index 305

Contents vii

viii Working with IBM Records Manager

Notices

This information was developed for products and services offered in the USA

IBM may not offer the products services or features discussed in this document in other countries Consult your local IBM representative for information on the products and services currently available in your area Any reference to an IBM product program or service is not intended to state or imply that only that IBM product program or service may be used Any functionally equivalent product program or service that does not infringe any IBM intellectual property right may be used instead However it is the users responsibility to evaluate and verify the operation of any non-IBM product program or service

IBM may have patents or pending patent applications covering subject matter described in this document The furnishing of this document does not give you any license to these patents You can send license inquiries in writing to IBM Director of Licensing IBM Corporation North Castle Drive Armonk NY 10504-1785 USA

The following paragraph does not apply to the United Kingdom or any other country where such provisions are inconsistent with local law INTERNATIONAL BUSINESS MACHINES CORPORATION PROVIDES THIS PUBLICATION AS IS WITHOUT WARRANTY OF ANY KIND EITHER EXPRESS OR IMPLIED INCLUDING BUT NOT LIMITED TO THE IMPLIED WARRANTIES OF NON-INFRINGEMENT MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE Some states do not allow disclaimer of express or implied warranties in certain transactions therefore this statement may not apply to you

This information could include technical inaccuracies or typographical errors Changes are periodically made to the information herein these changes will be incorporated in new editions of the publication IBM may make improvements andor changes in the product(s) andor the program(s) described in this publication at any time without notice

Any references in this information to non-IBM Web sites are provided for convenience only and do not in any manner serve as an endorsement of those Web sites The materials at those Web sites are not part of the materials for this IBM product and use of those Web sites is at your own risk

IBM may use or distribute any of the information you supply in any way it believes appropriate without incurring any obligation to you

Information concerning non-IBM products was obtained from the suppliers of those products their published announcements or other publicly available sources IBM has not tested those products and cannot confirm the accuracy of performance compatibility or any other claims related to non-IBM products Questions on the capabilities of non-IBM products should be addressed to the suppliers of those products

This information contains examples of data and reports used in daily business operations To illustrate them as completely as possible the examples include the names of individuals companies brands and products All of these names are fictitious and any similarity to the names and addresses used by an actual business enterprise is entirely coincidental

COPYRIGHT LICENSE

This information contains sample application programs in source language which illustrate programming techniques on various operating platforms You may copy modify and distribute these sample programs in any form without payment to IBM for the purposes of developing using marketing or distributing application programs conforming to the application programming interface for the operating platform for which the sample programs are written These examples have not been thoroughly tested under all conditions IBM therefore cannot guarantee or imply reliability serviceability or function of these programs

TrademarksThe following terms are trademarks of the International Business Machines Corporation in the United States other countries or both

Redbooks (logo) regDominoregDB2regIBMreg

Lotus NotesregLotusregNotesregRational Unified Processreg

RationalregRedbooksregWebSpherereg

The following terms are trademarks of other companies

Oracle JD Edwards PeopleSoft Siebel and TopLink are registered trademarks of Oracle Corporation andor its affiliates

PostScript and Portable Document Format (PDF) are either registered trademarks or trademarks of Adobe Systems Incorporated in the United States other countries or both

Enterprise JavaBeans EJB Java JavaBeans JDBC J2EE RSM and all Java-based trademarks are trademarks of Sun Microsystems Inc in the United States other countries or both

Active Directory Microsoft Outlook SQL Server Windows Server Windows and the Windows logo are trademarks of Microsoft Corporation in the United States other countries or both

Other company product or service names may be trademarks or service marks of others

x Working with IBM Records Manager

Preface

In a corporate environment documents are usually created or captured in a decentralized environment with no overall surveillance Many corporations have no formal process of retaining these documents as records Records end up being kept forever or too long which can lead to increased storage cost and when litigation requests occur companies often have to spend a huge amount of money and resources to locate the records In the case when a company is not able to locate records or to locate them on a timely manner the company is subjected to a financial penalty or more importantly damage to the companys reputation

IBMreg Records Manager is an application and also an engine that provides records management capabilities to existing business applications It enables a single and consistent records management platform with extensive record-keeping capabilities for both electronic and physical information assets It also helps companies to meet government and industry requirements for formal records management

Records management is a formal and structured process of identifying recorded information of preserving needed content and of destroying that which is no longer needed after the approved retention period has been reached

This IBM Redbooksreg publication provides an introduction to records management and IBM Records Manager We describe the basic concepts of records management including what is a record what is records management the importance of records management and a methodology to implement an enterprise wide records management solution

Any records management solution requires the set up of retention schedule and file plan A retention schedule is a timetable that specifies the length of time a record must be retained before final destruction A file plan is a structured subject-based filing schema that a records management system uses to support a retention schedule We describe these two concepts and provide design and planning guidelines Documents can be declared manually or automatically and classified to be records We introduce various methods of performing records declaration and classification design and planning considerations and describe the available options in some enterprise content management products when working with IBM Records Manager including IBM Document Manager IBM CommonStore for Lotusreg Dominoreg and IBM CommonStore for Exchange Server and IBM Content Manager

Other topics we address in the book include security records disposition discovery and hold

One of the most important goals of this book is to provide an introduction for you to start working with IBM Records Manager We cover IBM Records Manager system components its installation and configuration (including IBM Content Manager Records Enabler)

Using a case study we include detailed step-by-step instructions in creating file plan retention schedule profiles custom attributes setting up declaration and classification performing search and reporting enabling system auditing and system monitoring and a demonstration of records disposition

This book is intended to be used by solution architects designers and implementers who plan to implement IBM Records Manager with existing business applications It also serves as a step-by-step guide for system administrators or records administrators in performing common records management administration in IBM Records Manager Lastly the first part of this book serves as a good starting point for anyone who is interested in exploring the world of records management

The team that wrote this bookThis book was produced by a team of specialists from around the world working at IBM China Development Lab in Beijing China

Wei-Dong Zhu (Jackie) is a Enterprise Content Management Risk and Discovery Project Leader with International Technical Support Organization (ITSO) in San Jose California She has more than 10 years of software development experience in accounting image workflow processing and digital media distribution (DMD) Her development work with one of the DMD solutions contributed to a first time ever win for IBM of a technical Emmy award in 2005 Jackie holds a Master of Science degree in Computer Science from the University of the Southern California Jackie joined IBM in 1996 She is a Certified Solution Designer for IBM Content Manager and has managed and led the production of many Enterprise Content Management Risk and Discovery IBM Redbooks publications

Serena S Chan is a Project Manager with IBM Global Business Services Financial Services Sector in Canada Serena has over 12 years of combined industry and Management Consulting experience with emphasis in developing corporate strategies particularly those relating to Content Management and Records Management She holds an Honors Degree in Bachelor of Commerce (HBCom) and a Master of Science (MSc) in Computer Information Technology

xii Working with IBM Records Manager

She is a Project Management Professional (PMP) IBM Certified Rationalreg Consultant - Rational Unified Processreg v2003 and IBM Certified Solution Designer - DB2reg Content Manager V83

Guumlnther Flaig is a Content Manager Solution Designer with IBM Business Partner Enablement in EMEA located in Germany He has 35 years of IT experience in various fields Guumlnther has worked at IBM for 18 years His areas of expertise include complete IBM Content Management Portfolio He has written several books related to Content Manager environment taught several classes in Content Manager Document Manager CommonStore and OnDemand Recently Guumlnther has also created e-Learning courses for Content Manager and Document Manager

Yi Wang is a Software Engineer working in IBM China Software Development Lab He has seven years of experience in software development and more than two years of experience in IBM Enterprise Content Management solutions He is the team lead of IBM Enterprise Content Management Integration Test team He has expertise in IBM Content Manager IBM Document Manager IBM Records Manager and IBM CommonStore solutions Yi Wang holds a degree in Bachelor of Computer Science from Wuhan University China He is an IBM Certified Solution Designer for IBM Content Manager

Keith Wheeler is a Content Management Solutions Specialist with IBM US He has 28 years of experience with IBM spanning hardware software PDPSI installation and software sales His areas of expertise include IBM Content Management products deployment and solution design Keith has written various topics including software installation network configuration and problem determination

R Hogg is the Records Management Solution Executive Expert with IBM US With more than 10 years of experience in the field of document information and records solution records and retention management risks compliance and discovery he engages with customers and partners worldwide in analyzing resolving and deploying solutions

This book was also produced by the following specialist working remotely from Australia

Yolanda Yates is a Senior Technical Consultant with IBM Software Group in Australia Yolanda has 15 years of IT experience with an emphasis on process and records consulting She has a double degree from Latrobe university in Melbourne Australia Her areas of expertise include IBM Enterprise Content Management products Prior to joining IBM in 2006 Yolanda provided training and solution design for FileNet P8 Content Management Process Management Forms Management and Records Management across Asia-Pacific

Preface xiii

Very special thanks to the records management development and support team in IBM China Development Lab for their support and contributions to this project They include

Jean ChenDe Yu WangHe Feng CuiGe GeMing Liang GuoQian JinShang Qiang LiZhang Sheng PanJin Liang ShiXiang Xing ShiDi SuYan YY SunShin A WangZhe Ping WangXiu Cheng WuGuang Xin XuJi Hui YangKui SongJi GaoIBM Software Group China

Lai-Fong LeungIBM Software Group US

Become a published authorJoin us for a two- to six-week residency program Help write an IBM Redbook dealing with specific products or solutions while getting hands-on experience with leading-edge technologies Youll have the opportunity to team with IBM technical professionals Business Partners and Clients

Your efforts will help increase product acceptance and customer satisfaction As a bonus you will develop a network of contacts in IBM development labs and increase your productivity and marketability

Find out more about the residency program browse the residency index and apply online at

ibmcomredbooksresidencieshtml

xiv Working with IBM Records Manager

Comments welcomeYour comments are important to us

We want our Redbooks to be as helpful as possible Send us your comments about this or other Redbooks in one of the following ways

Use the online Contact us review redbook form found at

ibmcomredbooks

Send your comments in an e-mail to

redbooksusibmcom

Mail your comments to

IBM Corporation International Technical Support OrganizationDept HYTD Mail Station P0992455 South RoadPoughkeepsie NY 12601-5400

Preface xv

xvi Working with IBM Records Manager

Part 1 Basic concepts and IBM Records Manager product overview

This part provides an overview of records management concept including

Records and records management File plan and retention schedule Records declaration and classification Security Disposition discovery and hold

We also introduce

IBM Records Managermdashthe product and its system components IBM Records Manager Records Enabler

Part 1

2 Working with IBM Records Manager

Chapter 1 Records management

This chapter provides an overview of records management We discuss the concept of a record the importance of records management and methodology to implement an enterprise-wide records management solution

We cover the following topics

What is a record What is records management Evolution of records management The importance of records management Legal consideration Addressing regulatory requirements Methodology to implement an enterprise-wide records management solution

1

11 What is a record

A record is any type of content stating results achieved pertaining to and providing evidence of activities performed There are four essential characteristics of a record They are

AuthenticityA record must be what it purports to be

ReliabilityA record must be a full and accurate representation of the transactions activities or facts to which it attests

IntegrityA record must be complete and unaltered

UsabilityA record must be able to be located retrieved presented and interpreted

A record is generally retained for analysis or historical purposes and as a representation of what occurred It can be in any type of format including soft or hard copy It can take the form of paper records microfiche electronic documents e-mail fax instant messaging collaboration content voice recording wireless communication content audio video shared drive content and Web content E-mail today especially are common sources of records as a history of discussions and decision making that a company took which is a primary reason for eDiscovery on e-mail today

Records can be trade instructions trade confirms articles of incorporation bylaws or standard operating procedures Records can reside in any medium such as diskette tape optical disks and shared drives Records can be generated internally within a company or can be received from other sources

Records are similar to other assets of a company They are valuable and subject to industry regulations Many countries around the world have legislations on records keeping Most are applicable to physical and electronic records some specify the active and inactive retention period and some have special compliance requirement on storage media For example paragraph (f)(2)(ii)(A) of SEC Rule 17a-4 requires that the electronic storage media preserve the records exclusively in a non-rewritable and non-erasable format for broker-dealers

Meanwhile some industries are more heavily regulated than the others We look into a partial list of legislations pertinent to the financial services industry in 16 ldquoAddressing regulatory requirementsrdquo on page 10

12 What is records management

In a simple term managing records means

Categorizing records Retaining records for certain length of time Destroying records when the company is no longer obliged to retain them Retaining a trail of all activity

Two key factors in records management are

Records preservation Making sure you only keep what you need to keep for as long as you need to keep it

Records destruction Make sure that after the required retention period ended records are destroyed

Records management is different than content management Content management provides the ability to capture store and manage content Records management works within this type of infrastructure to apply formal rules based management to the retention and disposition of that stored content

Important Because records might be required to comply with industry regulations or to protect a company from liability the company controls the records not the users or the creators of the records

Chapter 1 Records management 5

An effective records management solution manages the life cycle of corporate records from creation to cremation As illustrated in Figure 1-1 each record has its own life cycle In its inception contents are created or captured The content are then organized used and disseminated At some point the contents of the records are declared as records Records are preserved and retained At the end of their life cycle records are disposed

Figure 1-1 Records life cycle

A record is only one type of content that falls into the domain of content management At the inception of a record an author creates a document There can be many revisions to this document When the document becomes an official record it cannot be altered and is now subject to a retention rule At the time for disposition an authorized person can archive or expunge the record

Note Expunge is a records management term that implies irrevocably deleting the records so that even document forensics cannot recover any aspect of the records An expunge of records is carried out when executing destroy as the records disposition option

Act

ivity

TimeDestroy

Archive

Chain of Custody

Records Management

Create (or captured)

Author Controlled

A Document

Retain

A Record

Corporate Controlled

(Disposition)via Records Scheduling

Organized used and distributedDeclared as records

Records management is about retaining corporate records for the appropriate retention period to meet the business and regulatory requirements The essence of records management is about managing risks and cost for retaining corporate records Companies are required to demonstrate that they have records retention policy and procedures in place and that they enforce these policy and procedures consistently

13 Evolution of records management

In earlier days when there were only physical recordsmdashpredominately paper record and microfichemdashfiling staff used to file hard copies of final versions of documents according to a companyrsquos retention policies Drafts were discarded Index cards were used for cataloging the documents When the retention period expired records were disposed In some cases records were kept permanently

As technology has advanced with the invention of analog fax printers and wide use of computers the volume of records has increased Before electronic records had legal effects companies still managed official records by keeping physical records in a somewhat controlled environment

In todayrsquos digital world records can take on the form of paper records microfiche electronic documents electronic mail fax instant messaging collaboration content voice recording wireless communication content audio video shared drive content and Web content Electronic documents are now valid and have legal effect They can be subpoenaed by opposing counsel All of these contents are subject to legal discovery and can be produced as evidence in case of litigation The number of documents and records that business needs to manage has increased exponentially by the use of other communication media Although most of the companies have a good handle of managing physical records they need to extend the records management program to cover records produced by the other mediums such as electronic documents and e-mails

14 The importance of records management

Often times in a corporate environment documents are created or captured in a decentralized environment with no overall surveillance Documents are named and filed according to the individualrsquos preferences and often are subject to duplication Records are kept for too long which can lead to increased storage cost and if litigated companies spend resources to locate records In some cases companies cannot locate the records which can lead to financial penalty or more importantly damage to a companyrsquos reputation

The key objectives of records management include risk mitigation and cost containment of records keeping A blanket retention policy of keeping everything indefinitely is not the best practice

The benefits for records management include

Operational efficiency Making sure that corporate information is captured retained and disposed properly (which is one of the keys to an efficient company)

Cost containment Making sure that records are destroyed after their required retention period can reduce storage costs and space requirements

Meet compliance and litigation requirements Industries and government regulations often impose different retention requirements for records Timely destruction of records in full compliance reduces the risk of exposure in case of litigation

Safeguard records for business continuity audit or business continuity reasons Records are vulnerable to natural disaster accidents theft or mishandling An efficient records management solution helps to identify and protect against such threats which is especially important for vital records that are essential to the continuation of the operation of a company

Compliant to fiscal requirements that companies might have on records keeping

Businesses need a holistic approach to records management throughout a recordrsquos life cycle from capture retrieval archival and disposition Companies need to be prepared to provide the authenticity of the records the trust-worthiness of the processes and the integrity of the records management systems Strong accountability through records management provides integrity and authenticity to prove compliance especially during an audit

15 Legal consideration

Regulatory bodies and the government impose different retention periods on different record series Compliance specifies how and what documents a company needs to preserve to comply by laws and regulations One of the objectives of an effective records management program is to preserve records for the appropriate length of time

Note Record series is a records management term that means a group of related records that can be filed as a unit for retention purpose

Companies that destroy records prior to their legal retention period can be subject to adverse consequences in case of litigation Alternatively retaining records exceeding the required retention period can put the company in a disadvantage position in case of litigation and also leads to higher storage costs

Whenever there is a court or regulated authority order companies need to go through a legal discovery process Often this requires the companies to search across all documents whether they are records or not and identify those that match the discovery order Any document in any medium that has information relevant to the subject matter of a dispute is potentially discoverable and needs to be preserved for as long as the lawsuit is anticipated or pending These records and documents need to be placed on hold such that the normal retention schedule and disposition would no longer be applicable during the process

In some cases during discovery documents are produced out of context are damaged or are presented to the court that can damage the companyrsquos case

Companies might not be able to claim undue burden as a reason of not being able to produce relevant records in case of discovery orders The inability of a company to meet the compliance requirements whether regulatory or a legal action can result in financial loss or damage to the companyrsquos reputation

Note A hold is also known as a legal hold which is an action taken on records collections to ensure that they are not disposed as part of their normal retention schedule life and are kept possibly beyond their scheduled date of destruction Records under legal hold are protected from any possible destruction until the hold is lifted A legal hold is usually driven by legal discovery litigation needs

16 Addressing regulatory requirements

Companies need to have a good understanding of applicable regulations identifying records and identifying the corresponding retention requirements on the records Complexity of managing records is increased by evolving compliance rules and regulations as illustrated in Figure 1-2

Figure 1-2 Examples of US regulations pertinent to compliance

Compliance is the act of adhering to and demonstrating adherence to internal or external regulations A regulation is a compromise between prohibition and no control at all For example the sale and consumption of prescription drugs are controlled by regulations as are other areas such as the financial sector

Compliance with what any regulation and law requires means

Interpreting what the regulation and law says

Understanding where your company currently stands

Documenting a plan for achieving compliance

Executing the plan

Devising measures and controls to prove that your company has implemented the plan

US PATRIOT Act(Anti-Money LaunderingKnow your Customer)

ComplianceCompliance

bull Performed by different people inbull Different departments usingbull Different tools withbull Different types of documents stored inbull Different places

SEC 17-4a NASD(Records retention amp archiving)

NYSENASD Rules(Research Compliance)

Sarbanes ndashOxley(Financial Reporting Accountability)

OFAC(Office of Foreign Assets Controladherence to US Foreign Policies)

21CFR11(Electronic Signature Validity) HIPAA

(Health Insurance Portability ampAccountability Act)

Graham-Leach-Bliley(Privacy amp Security)

State Filings

Stat Reporting(Financial Reporting)

Hard and expensive totrack compliance status

Addressing regulatory requirement is not a straight forward exercise because of the complexity of legislations Some US pertinent legislation or requirements requiring financial institutions to secure records include

Investment Advisors Act

The Investment Advisors Act rule 204-2 establishes record keeping requirement for books and records to be maintained by Investment Advisers

Securities and Exchange Commission (SEC)

SEC Act of 1934 for broker-dealers and transfer agents section 17a requires securities brokers dealers investment companies financial advisers and transfer agents to keep records of electronic interoffice communications and communications with customers

17a-3 requires that all members of a national securities exchange including all brokers and dealers must keep current variety of books and records that relate to their businesses

17a-4 requires some records that must be retained by brokers and dealers must be preserved for at least six years the first two years in an easily accessible place while other records must be retained for at least three years the first two years in an easily accessible place

National Association of Securities Dealers (NASD)

NASD rules 2711 3010 and 3110 requires that member firms establish and maintain a system to supervise the activities of each registered representative including transactions and correspondence with the public

New York Stock Exchange (NYSE)

The NYSE rule 440 requires brokers and dealers to make and preserve books and records as prescribed by the NYSE

Bank Secrecy Act (Anti-money laundering statutes and rules)

The Bank Secrecy Act requires businesses to keep records and file reports that are determined to have a high degree of usefulness in criminal tax and regulatory matters Agencies use these documents to identify detect and deter money laundering whether it is in furtherance of a criminal enterprise terrorism tax evasion or other unlawful activity Businesses must report cash payments of over $10 000 received in trade or business from one buyer as a result of a single transaction or as a result of two or more related transactions1

State Statutes

State or local laws also govern the requirement of record keeping Each state has its own jurisdiction depending upon the state where you are located

1 Information taken from the Internal Revenue Service Web site athttpwwwirsgovbusinessessmallarticle0id=15253200html

Sarbanes Oxley Act (SOX)

The Sarbanes Oxley Act requires that audit firms which audit companies governed by the SEC to retain all relevant documentation to protect mishandling of information

Gram-Leach-Bluely Act

The Gram-Leach-Bluely Act is a US Federal law enacted to control ways that financial institutions to deal with private information for individuals

The Office of Foreign Assets Control

The Office of Foreign Assets Control (OFAC) of the US Department of the Treasury administers and enforces economic and trade sanctions based on US foreign policy and national security goals against targeted foreign countries terrorists international narcotics traffickers and those engaged in activities related to the proliferation of weapons of mass destruction

17 Methodology to implement an enterprise-widerecords management solution

Companies require a holistic records management program to meet todayrsquos compliance and business needs To ensure a successful implementation of an enterprise records management solution we recommend the following methodology as shown in Figure 1-3

Obtain corporate sponsorship and stakeholders buy-in

Assess and evaluate the companyrsquos current situation and identify gaps

Gather business and technical requirements

Engineer business process and deploy technology

Continuous review and monitor (audit) the processes

Figure 1-3 Methodology to implement an enterprise-wide records management program

StakeholderBuy-In

Assessmentamp EvaluationAssessmentamp Evaluation

RequirementsGathering

ProcessEngineering ampTechnologyDeployment

ContinuousReview amp Audit

171 Obtaining corporate sponsorship and stakeholder buy-in

A successful records management program requires corporate governance from the top down as well as enforcement throughout the company Executive sponsorship is key to the success of an enterprise deployment Other stakeholders include but are not limited to Records Managers Office of General Counsel compliance officers and a cross functional team that includes representatives from all business areas

A records management program usually requires significant funding Failure to do so can be even more costly in case of litigation It is important to get an executive sponsor and to engage across a functional team for enterprise-wide participation

172 Assessing and evaluating the current policies and procedures

During the assessment and evaluation phase the companyrsquos current situation is reviewed Assess the companyrsquos assets including companyrsquos retention policies and procedures and retention schedules Records retention procedures should reflect the companyrsquos records retention policies The outcome of the exercise is to identify requirements and gaps and to establish priorities

Note The Office of General Counsel provides legal and policy advice within the company

Using an objective records management maturity model One way to assess the health of a companyrsquos current records retention and management practices is to use an objective records management maturity model as shown in Figure 1-4

Figure 1-4 Records management maturity model

This model enables companies to baseline business records retention and management practices using an objective matrix

Level 0 - Non-existent

There are no common practices and general awareness of records management within the company is lacking

Level 1 - Initial

Companies that have achieved Level 1 of this records management maturity model have general awareness that problem exists Currently no common practices of records management policies and procedures in place

Level 2 - Repeatable but intuitive

Companies that have achieved level 2 of this model have limited practices and processes

Level 0 ndashNon-existent

bull There are nocommonpractices andgeneral awareness islacking

Level 1 ndashInitial

Level 2 ndashRepeatablebut Intuitive

Level 3 ndashDefinedProcess

bull There isgeneralawarenessthat aproblemexists

bull There arelimitedpractices andprocesses

bull There aredefinedrecordsmanagementpolicies andprocedures

bull Have maturepractices andmeasurementto the successof the program

Level 4 ndashManaged

andMeasurable

Level 5 ndashOptimized

bull Have a holisticview on anenterprisecontentmanagementsolution andhas a focus oncontinuousimprovement

Organizational Readiness

Records M

anagement C

apability

Level 3 - Defined process

Companies that have achieved Level 3 of this maturity model have defined records retention policies and procedures

Level 4 - Managed and measurable

Companies that have achieved Level 4 of this maturity model have mature practices There are defined measurements to the performance of the program

Level 5 - Optimized

Companies that have achieved Level 5 of this maturity model have a holistic view on an enterprise content management solution and has a focus on continuous improvement

Road map for records management solution implementation After assessing the company for its current position and identifying a desired end-state develop and document a road map to achieve compliance Execute the road map by engineering business process and deploying technology

Figure 1-5 is an example of a high-level graphical representation of a road map Policy procedure and technology are the keys to a successful enterprise records management implementation During the design process research assess and account for important business requirements

Figure 1-5 Records management solution implementation time line road map

BuildStrengthenRM Foundation

Establish FoundationPolicies

BuildOrganizationalStructure

Build CorporateAwareness

EnshrinePolicies

Pilot

MapBusiness

Processes DevelopImplementation

Strategy

Implement RMTechnology

EnterpriseRollout

Technology

Procedures

Policies

Stage 1

Stage 2

Stage 3

Organizational readinessFigure 1-6 is a visual representation of an output of the assessment activities that measure the readiness of records management within a company

Figure 1-6 Example of an artifact from assessment

The guidelines for this assessment include

1 Identify key measurement areas in records management

2 Identify departments that receive records management services Conduct an interview with selected departments

3 Review the result from the interviews and address specific issues or concerns raised by the departments

4 Analyze the results of the surveys and determine the departmental rating for each key measurement area

Creation and Capture

109

87

6

5

4

3

2

1

Security

Measurement

Standards and Guidelines

Training

Inventory

Dissemination

Preserve

User Awareness

Protection

Identity Management

Organization

Governance

Legal consideration

Data Management

Business Continuity

Storage

Records Centers Operation

File Operations

File system

Indexing

Creation of Records

Surveillance

Classification

Disposition

ArchiveUse and retrieve

5

55

56

58

7

4

3

Restore

5 Compare the departmental satisfaction rating with the target Determine the course of action needed to bring about improvement and track those actions

This type of visual representation can serve as a guideline against which the company can assess every aspect of records management life cycle maturity and other areas to be measured This assessment provides a relative strength of the area against the objective maturity model as shown in the previous section It identifies the gap and brings attention to the area that requires improvement to achieve the desired end-state The next step in the methodology is to identify the gaps and to determine the business and technology requirements

173 Gathering business and technical requirements

Part of the implementation process is gathering business and technical requirements

Business requirementsThrough analysis of existing documentation engaging stakeholders and interviewing business areas from assessment develop future requirements Gather business requirements from business users Understand the business needs and then derive the technical implementation from the business requirements

The business requirements gathering steps can include the following activities (the list is not meant to be exhaustive)

Confirm participants in the requirements collection

Interview and engage business resources in the requirements validation process

ndash Develop interview guidendash Develop schedulendash Complete interviews and surveys

Develop and prioritize mandatory preferred and optional requirements

Technical requirementsA records management application is a tool to help solve a business need that often involves process changes Standards for records management are emerging and evolving in many countries around the world These product standards provides a baseline for the technical requirements Some of the records management standards around the world include

US Department of Defense (DoD) 50152

The DoD 50152 standard is established by the US Department of Defense as a set of basic operational legislative and legal requirements for records management systems to be used by the US military For example one of the mandatory requirements is C2241 Records management applications (RMA) shall treat e-mail messages as any other records and these shall be subjected to all requirements of this standard

Note that these standards are evolving For example C2245 of version 3 of DoD 50152 mandates that RMAs shall not require users to save attachments to their hard drive or other media prior to filing them separately from the e-mail message which is new to version 2

The National Archives (TNA)

TNA is a UK standard replacing the older Public Records Office (PRO) standard It sets out guidelines for management appraisal and preservation of electronic records for the electronic records For example section 65 of the procedure specifies that PostScriptreg TIFF SGML PDF and delimited file format such as comma separated variable are available format for transferring electronic records that meets the requirement

Model Requirements for Managing Electronic Records (MoReq)

The MoReq specification is a model specification of requirements for Electronic Records Management Systems (ERMS) to be used in Europe For example 511 of the specification defines that the ERMS must provide a function that specifies retention schedules automates reporting and destruction actions and provides integrated facilities for exporting records and metadata

Document Management and Electronic Archiving (DOMEA)

DOMEA is a German standard for document management and electronic archiving in public administration For example requirement group (RG) 5 discusses requirements about mobile records management In addition to records management through Web clients mobile records management represents an alternative for many authorities to ensure the fulfilment of daily tasks regardless of the employees presence in the office

Victorian Electronic Records Standard (VERS)

VERS is an Australian standard developed by Public Record Office Victoria (PROV) to provide guidelines on capturing managing and preserving electronic records in the state of Victoria2 For example it defines that an electronic records format must be able to support evidence Electronic records must be admissible as evidence and given due weight in a court of law This requires the ability to prove that a record has not been altered in an unauthorized or undocumented fashion since creation and to demonstrate who created the record and when it was created

174 Engineering business process and deploying technology

Based on the business and technical requirements select a records management solution that best fits the companyrsquos need Together with the deployment of technology streamline or automate the business processes Technology is just one piece to the overall puzzle User training and consistently applied policies are key to the success of an effective records management solution

175 Reviewing and monitoring the processes

When a program is in place employees need to comply with the records management policies and procedures Review the new policies and procedures regularly to ensure regulatory compliance and to modify the processes as needed A successful records management program is a continuous improvement process

2 According to httpwwwprovvicgovauversstandardver199-7s4htm

Chapter 2 Retention schedule and a file plan

This chapter introduces the topics of a retention schedule and a file plan

Retention schedule Retention schedule planning and creation File plan File plan planning and creation

2

Disclaimer We provide the information in this chapter as is without warranty of any kind express or implied IBM is not responsible for any damages that might arise out of the use of or otherwise related to this information Nothing included in this book is intended to nor shall have the effect of creating any warranties or representations from IBM (or its suppliers or licensors) or altering the terms and conditions of applicable agreements governing the use of IBM hardware software or services

21 Retention schedule

A retention schedule is a timetable that specifies the length of time a record must be retained before final destruction A retention schedule describes a companyrsquos regulated records their ownership and regulatory citations as well as the retention period based on legal regulatory and business needs The company needs to review the retention schedule from time to time and to dispose of records in accordance to the retention schedule

Most companies have some form of retention schedule or retention rules for their records If your company has a retention schedule it should be reviewed and revised according to various requirements that we describe here If you do not have a schedule yet you need to create one

A retention schedule can be driven by the following requirements

Compliance and regulatory requirements Industries and government regulations often impose different retention requirements for records

Fiscal requirement on record keeping

Business requirements which can include audit companyrsquos retention policy legal counsel opinion or business continuity reasons

To determine the retention period of a record stakeholders from legal counsel compliance officers and business users need to be involved because the requirements vary from different countries states municipalities industries compliance and legal jurisdictions and document types The retention schedule is updated continually as business and regulatory needs evolve

Note A compliance is the act of adhering to and demonstrating adherence to internal or external regulations A regulation is a compromise between prohibition and no control at all

Important Companies are responsible for ensuring their own compliance with relevant laws and regulations It is the companyrsquos responsibility to obtain advice from competent legal counsel as to the identification and interpretation of any relevant laws that can affect the companyrsquos business and any actions that the company might need to take to comply with such laws

IBM does not provide legal accounting or audit advice or represent or warrant that its services or products will ensure that a client is in compliance with any law

There are usually multiple retention rules associated with a retention schedule Each retention rule specifies how long records are retained and what to do after the retention period expires Each retention rule applies to a specific group of records

22 Retention schedule planning and creation

Creating a retention schedule for a company is one of the most critical tasks in records management To plan and create a retention schedule for a company you can use the following exercises and activities as guidelines

1 Understanding companyrsquos records management policy2 Understanding companyrsquos records management procedures3 Understanding regulatory requirements4 Conducting records inventory5 Creating the retention schedule

221 Understanding companyrsquos records management policy

A records management policy is based on legal regulatory and business requirements If the company does not have a records management policy it is a best practice to develop one A policy is a living document and should be reviewed and revised as business need evolves In addition everyone in the company needs to adhere to the policy Records management procedures are developed in accordance with the policy The company can use technology to enforce records management policies by attaching records management policies to the documents that reside in the repositories

Example 2-1 provides an example of a part of a records management policy

Example 2-1 Records management policy example

Essential information is information deemed necessary for satisfying corporate legal requirements for conducting business operations

Essential information is to be retained long enough and in appropriate media to meet the laws of the countries in which this corporation conducts its operations retrievable in a usable form throughout the retention period and disposed when the retention period expires unless subject to a hold order

Chapter 2 Retention schedule and a file plan 23

222 Understanding companyrsquos records management procedures

Records management procedures are developed in accordance with the records management policy These procedures provide the operational task role and outcome that are required to ensure that the company adheres to the policy and associated retention schedule

If a company does not have a set of procedures for records management it is a best practice to develop one Procedures are specific to the industry to which the company belongs the nature of the business and the operation of each area within the company

Example 2-2 provides an example of a part of a records retrieval procedure

Example 2-2 Records retrieval procedure example

All retrievals must be returned in 60 days or less If needed for a longer period the Records Administrator is to be notified If permanent removal is requested management documentation to confirm retention will be required See Process Contacts

Access the Records Retrieval Form at web address

Complete all of the required fields

ndash Enter the box number you are requesting If a file is being requested complete the File Number field under this section as well

ndash Be sure to review the Priority selection as it will default to Normal Service If urgent same-day delivery is required select the emergency option

Once the form is completed follow the these instructions 1) Save the document as a Word file 2) Once the file is saved prepare an email to Administration Team with the supply form included as an attachment

Administration team will review the contents of the form

You will receive a response in 48 hours (via e-mail) to advise that your order has been processed Administration team will provide an order number and expected daytime for delivery

223 Understanding regulatory requirements

Many countries around the world have legislations on records keeping Most are applicable to physical and electronic records some specify the active and inactive retention period and some have special compliance requirement on

storage Regulatory requirements vary from country to country industry to industry legal entities states and document types Refer to 16 ldquoAddressing regulatory requirementsrdquo on page 10 for an overview of regulatory requirements that are pertinent to the financial industry

224 Conducting records inventory

Companies need to conduct an inventory of their documents The inventory can be at departmental level and can be conducted through questionnaires A document inventory is a list of documents that exist within a company The inventory provides information that describes the characteristics of records that are created or captured

Table 2-1 shows an example of records inventory template (The list that we show here is not meant to be exhaustive)

Table 2-1 Sample record inventory template

After obtaining a list of document inventory you can categorize them into appropriate categories Users should include all types of documents including paper records microfiche electronic documents electronic mail fax instant messaging collaboration content voice recording wireless communication content audio video shared drive content and Web content

Reviewing the existing records filing processMany companies already have some form of records filing processes Review and study the existing record filing process The goal of this review is to accomplish the following tasks

Identify records that are being generated within the company Understand the hierarchical order between groups of records Ensure that all records from the company are presented and collected Identify who created the records and how they are created

This review gives a better understanding of what records the company has and helps to create the retention schedule and the file plan later

Record Code Record Description Record Owner

Format Location Department

Retention Period Disposition

225 Creating the retention schedule

After gathering a complete list of records inventory categorize records into groups of related records that can be filed as a unit for retention purpose Retention period for each group should be based on legal mandates regulatory requirements business requirement and also good business practices For example SEC 17a-4 requires that some records retained by brokers and dealers must be preserved for at least six years the first two years in an easily accessible place while other records must be retained for at least three years the first two years in an easily accessible place Documents fall into the first regulation requirement then must be kept for at least six years Based on regulation requirement and other business requirements you can categorize that special group of records into one unit Make sure that the records are logically grouped together (from companyrsquos business operation perspective) and they all have the same retention period based on requirements

In addition to determine the proper retention period for records you also have to determine the method of which to dispose records when their retention period expires This is important because proper disposition of records protect companies from future liability and control information storage size Records disposition options include (but not limited to) destroying the records and archiving records to another records holding authority You can also set up the system to review records when their retention period expires and then decide what to do By design a records management system does not destroy records automatically when records reach their retention period even when the disposition is set to destroy A records management system always requires human verification before anything is done to the expired records

Important Retention period and records disposition method are two of the key elements in a retention schedule Proper understanding of your companyrsquos records policy records procedures proper understanding and correct interpretation of laws and regulations are crucial in finally determining the length of time a particular group of records must be kept and what to do with them afterwards Legal council and special records professionals should be involved in developing the actual retention schedule for a company

For more information about records disposition refer to 51 ldquoRecords dispositionrdquo on page 70

Table 2-2 is an example of retention schedule that we develop in Chapter 9 ldquoRetention schedule creationrdquo on page 147

Table 2-2 Sample retention schedule

Here is a list of suggested fields in a retention schedule (the list is not meant to be exhaustive)

Record series

A records management term that means a group of related records that can be filed as a unit for retention purpose It can be further broken down into primary secondary and tertiary record series if required

Series title

The name by which the group of records are known by the users

Description

Defines the scope of the records included in the category

Office of record

Refers to the owner which can be a department responsible for maintaining the official records for the retention period

Record series Description Citation Total Retention Period

Disposition

Client Communications

Correspondence communications (email voice recordings and regular mail) complaints with clients both institutional and retail

17cfr275204-2(e)(3) 5yrs

5 years Destroy

Employee Data Monitoring and reporting on all employee related activity and activity of associated persons such as Employee Files Fingerprinting Compensation Salary Benefits Registration amp Licensing

17cfr24017a-3(a)(12)(i) employment +3yrs 17cfr24017a-3(a)(19)(i) 3yrs

Termination Date + 3 years

Destroy

Vital record

An identifier to indicate whether the record is needed in the event of disaster Vital records are usually stored off site and replicated for disaster recovery purposes

Active retention period

The retention period for records required for current use

Inactive retention period

The period of time during which inactive records must be maintained by the company

Total retention period

The sum of active retention period and inactive retention period

Citation

The statutory authority or law that governs the retention of the records For example SEC 17cfr275204-2(e)(3) requires that client communications to be retained for 5 years

Disposition

The final action for a records series Examples of valid actions are destroy (physically destroying the records) and accession (or archiving transferring records to other records holding authorities)

Medium

The object or device which the record resides Examples of medium are paper records microfilm computer disk and CD-ROM

Records series code

Can be used to reference to a citation schedule or a disposition schedule

23 File plan

A file plan is a structured subject-based filing schema that a records management system uses to support a retention schedule There is no universal file plan for all companies Each file plan is unique and depends upon the types of businesses with which the company deals A file plan specifies how records are organized hierarchically in a records management environment It is different from a taxonomy which is intended to aid users for content search and retrieval The purpose of a file plan is for record administrators to manage retention and disposition of records It is used to enforce records managements policies

In a typical company environment there are different documents that can be associated to different buckets (or subject-folders) Each folder is then tied into the retention rule which indicates how long documents within the folders are to be kept until destruction You can apply retention rules at the folders or records level as shown in Figure 2-1 A single record can include multiple documents or multiple pieces of information

Figure 2-1 Classify a document to bucket (subject-folder) tied to a retention rule

24 File plan planning and creation

As mentioned in 224 ldquoConducting records inventoryrdquo on page 25 many companies have some form of records filing processes Before you design your file plan you need to review the records filing processes and records inventory that you generated from that section You need to design a file plan that models the records and their hierarchical relationships within the company

Inspections

Safety

Incidents

Finance

Budgets

Audits

Travel

Requests

Reports

Sample retention schedule

Rule 1

Rule 3

Rule 1

Rule 5

Rule 8

Doc 1

Doc 2

Doc 3

Doc 4

Doc 5

Doc 6

Permanent

Active 2 YR

Closing + 1 YR

3 M

5 YR

7 YR

End of Life + 3 YR

Until Superceded

Annual Review

Retention Rule 10

Retention Rule 11

Retention Rule 12

Figure 2-2 shows an example structure for a fictitious global financial company The company has representations in multiple geographical locations that are then divided into different legal entities

Figure 2-2 File plan organization example

A hierarchical file plan has containers (subcontainers and records) that comprise the file plan that represents categories of information The highest level of folders is known as root Subfolders are used to aggregate records based on business subjects These categories are divided into narrower categories until a category is sufficiently granular enough that it pertains to a relatively small subset of the overall spectrum of categories that an organization deals with on a daily basis This level of granularity is where a specific retention rule can apply to this set of records which we discuss in 21 ldquoRetention schedulerdquo on page 22

Users (records administrators) identify records as belonging to one or more of these narrowly defined categories This granularity allows for the efficient location of records based on the categories of information to which they belong

While designing a file plan distinguish between electronic records and paper records identify the location of these records as well as how and where they are created and note any changes or migration of these records

EMEAEMEA

BankBank

Employee DataEmployee Data CorporateRecords

CorporateRecords

ClientCommunications

BusinessCommunications

BusinessCommunications Research ReportsResearch Reports

Asia PacificAsia Pacific

InsuranceInsurance

ComplaintsComplaints

Customer File PlanCustomer File Plan

AmericasAmericas

For information about how to create a file plan see Chapter 8 ldquoFile plan creationrdquo on page 125

For information about how to apply retention rule to that file plan see Chapter 9 ldquoRetention schedule creationrdquo on page 147

Chapter 3 Declaration and classification

This chapter addresses declaration and classification of records We cover design and planning considerations and describe the available options in different enterprise content management solutions

Declaration and classification Design and planning Available options in IBM Document Manager Available options in IBM CommonStore solutions Available options in IBM Content Manager

3

31 Declaration and classification

Record declaration means identifying a piece of content (which we refer to generally as a document) as a record After record declaration the content and the associated metadata of the original document can no longer be modified When the record reaches its end of life cycle (specified by the retention rule) it is disposed of according to the disposition rule that is associated with the record

In solutions that are configured with IBM Records Manager IBM Records Manager takes over the ownership of the record from the application and the user who originally created the document In special cases the metadata of the record can be modified with proper records management authority

There are two ways to declare a record

Manual declaration

Users decide when and what documents are to be declared as records With IBM Records Manager this process is a synchronous process and requires user intervention When the process is completed successfully users are guaranteed that the documents have become records

Auto declaration

This process is an automatic way of declaring documents as records without users manually performing the declaration action With IBM Records Manager this process is asynchronous and does not require user intervention However because it is an asynchronous process it does not guarantee that within a specific time period documents will become records

Note For simplification we refer to a piece of content as a document Documents that we reference this way can include electronic documents graphic files video files e-mails and any other type of content that can be handled by Enterprise Content Management solutions Note in some products such as Content Manager they are sometimes referred to as items In CommonStore for Lotus Domino documents represent Lotus Notesreg documents and e-mail messages from Domino server In CommonStore for Exchange Server documents represent e-mail messages from Exchange Server

Record classification is a method of assigning retention and disposition rules to records With IBM Records Manager the classification process assigns a document to a specific file plan component Depending on the particular implementation it can be manual or process-driven and can be automated

There are two ways to classify a record

Manual classification

Using IBM Records Manager a user enters a classification code (which is associated with retention rule) manually or selects the classification code from a list to classify a document to be a record

Auto classification

The system can be set up to use predefined rules to classify records

With IBM Records Manager if manual declaration is used the user first initiates the record declaration process Within this process manual or auto classification of the record occurs

32 Design and planning

How the declaration and classification process is carried out is one of the key design decisions for a records management solution

Within any records management system there are two types of users

Those users who fully understand the concepts Those users for whom records management is a task that someone else

performs

It remains a goal of many records management systems to streamline the entire process particularly for users because many users have little or no understanding of what constitutes a record and they do not want to take time away from their work to understand how to classify a document as a record For these users the greater the automation involved in records declaration the better

At the other end of the records management spectrum lie the professionals whose job it is to establish own and maintain an effective records management system whether they are paper-based or electronic-based These users fully understand what constitute records as well as the importance of why records need to be effectively managed Classification of documents as records is a straightforward process to records professionals

Chapter 3 Declaration and classification 35

A major challenge in the adoption of effective records management is how to manage the declaration and classification of records for all users not just records professionals The IBM Records Managerndashbased solution enables declaration and classification techniques from auto-declare and auto-classify to a very manual declare and classification process Figure 3-1 shows the records management continuum Whatever level of automation is applied the goal is the accurate repeatable consistent application of retention rules to captured records

Figure 3-1 Records management continuum

The more manual the process of record declaration and classification the less planning is required yet more user interaction is involved The more automated the process of record declaration and classification the more planning is required beforehand for the entire system yet less user interaction is involved The more manual the process also requires more records knowledge from users and potentially more prone to introduce human errors

In general automated declaration (and classification) should be the goal of the organization It should only be the exception that a small subset of records is manually declared Organizations need to aim for touchless records capture and keeping and aim wherever practical to deploy auto declaration features for documents

321 Auto classification design consideration

Auto classification eliminates the need for users to assign retention rules manually IBM Records Manager offers metadata-based auto classification whereby the records administrator can define classification rules based on metadata of a document If you plan on using auto classification you should understand the lack (or potential lack) of suitable metadata To have successful auto classification the metadata must contain sufficient information for the system to auto-classify

Auto-Declare ampClassify

Drop intoRecords-enabled

Folders

Quick Lists Profiles

More Planning Less User Interaction

Less Planning More User Interaction

Manual Declarationamp Classification

Auto classification requires planning and configuration ahead of time You need to decide

The auto classification rules to establish

The metadata that will be used in the classification process

How to handle documents that cannot be classified because either no single rule satisfies a match or insufficient metadata is available

322 Manual declaration and classification design consideration

The other end of the implementation scale is where the declaration and classification are both manual operations An assumption here is that the classification of a record is performed by users rather than the records administrator

If your organization allows or requires users to perform manual declaration and classification you need to consider carefully the responsibilities placed on users Users might have no previous experience or skills in this area Your organization must define and publish retention policies relating to the importance of documents and records within your organization

To streamline and ensure effective and accurate ways of performing manual declaration and classification we provide the following recommendations

Minimize the subset of the file plan components and data fields that users have to select and enter at the declaration and classification time

Provide adequate and relevant user training

When auto classification or manual classification are not suitable for an organization you can set up alternatives where users who want to declare documents as records can do so using a combination of manual and auto classification

323 Semi-auto declaration and classification options

With IBM Records Manager there are options which are in between the manual and automatic process For simplification we call them semi-auto declaration and classification You can set up these options through system configuration or custom programming

Figure 3-2 shows the declaration options available in Enterprise Content Management products

Figure 3-2 Declaration options from Enterprise Content Management products

In Figure 3-2

DM stands for IBM Document Manager

CS stands for IBM CommonStore solutions which include both IBM CommonStore for Lotus Domino and IBM CommonStore for Exchange Server

CM stands for IBM Content Manager

Table 3-1 summarizes the available declaration options

Table 3-1 Available declaration options in different product and solutions

ManualDeclaration

(CM CS DM)

DM QuickDeclarationBy Selection

AutoDeclaration

(CM CS DM)

Manual Declaration Auto Declaration

DM QuickDeclarationBy Property

CS DragampDropDeclaration

Product and solution Auto declare

Quick declare

Foldering (drag and drop)

Manual declare

IBM Document Manager Yes Yes Yes

IBM CommonStore solutions (IBM CommonStore for Lotus Domino and IBM CommonStore for Exchange Server)

Yes Yes Yes

IBM Content Manager Yes Yes

33 Planning considerations

This section discusses the areas that you need to consider when planning for records declaration and classification which include

How documents are declared and classified When documents are declared and classified What happened to the declared documents Can the original owners of the documents view the records How are records retrieved or located Declare a document as multiple records Declare multiple documents as a single record (IBM Content Manager and

IBM Document Manager only) Version management (IBM Document Manager only)

331 How documents are declared and classified

Consider whether you want users to declare and classify documents manually or let the system do this job automatically

It is possible that for certain types of documents or some usersrsquo documents (such as certain usersrsquo e-mails) you will want an automated process and for other types of documents and users you will want a manual process You need to understand the implications of using both automatic and manual records declaration and classification Also you need to understand the requirements from your company as to whether the users have the rights to declare their documents manually

How many kinds of documents do you want to declare in an automatic way Do you want to classify documents in the same file plan if they are declared and classified automatically or into a different file plan How often do you expect to declare documents as records whether it is a manual or automatic process

What classification rules can you set up to simplify the declaration and classification process

332 When documents are declared and classified

For automatic operations when do you run the automatic records declaration and classification process For manual operations this answer depends on users You should set some clear standards or recommendations for users as to what and when they should manually declare and classify their documents What are the rules you establish or guidelines that users should follow

333 What happened to the declared documents

After the declaration process is completed (whether it is carried out automatically or manually) what happened to the original documents The answer to this question is especially important when dealing with e-mail messages Do the e-mail messages still stay in the usersrsquo mail database or mail boxes after they are declared as records

334 Can the original owners of the documents view the records

This decision can depend on the types of documents For some users can maintain their view rights For others users might no longer be able to view them This answer can also be determined by the types of users Work with the records professionals in your organization to finalize this decision and configure the system accordingly

335 How are records retrieved or located

If users are allowed to search for the records how will records be searched The access users have to retrieve their documents after declaration depends on the policy set by the records administrator and specific products

336 Declare a document as multiple records

A single document can be declared multiple times as different records that are classified under different file plan components For example a legal contract might be declared several times and be classified under multiple classifications

337 Declare multiple documents as a single record (IBM Content Manager and IBM Document Manager only)

In IBM Document Manager multiple documents can have relationships with each other This document can be a PDF rendition to the native document It might be a Microsoftreg Office OLE (Object Linking and Embedding) relationship to another Office document It might be a contrived parent-child or peer-to-peer relationship among other relationships You can design the system to enable documents which have relationships to be declared as a single record or multiple records

In IBM Content Manager you can declare multiple documents to a single record

338 Version management (IBM Document Manager only)

When working with versioned documents IBM Document Manager enables you to declare earlier versions of a document to be records in addition to declaring the latest version as a record When design and planning for declaration and classification take this in consideration and decide how versions will be managed from records management perspective

34 Available options in IBM Document ManagerIBM Document Manager is a product in the IBM Enterprise Content Management portfolio IBM Document Manager provides a secure and robust platform to manage the complete life cycle of business documents It helps to ensure accurate and up-to-date documents are available on demand When configured with IBM Records Manager the IBM Document Manager solution provides records management capability

You can create a record in the following ways with IBM Document Manager configured with IBM Records Manager

Manual declaration Quick declaration

341 Manual declaration

IBM Document Manager provides the option to manually declare a record This method allows for complete control of the process by a sophisticated user This process requires the user to know the precise location in the file plan where the document should be classified and it allows for the entry of values for all the metadata attributes for the record Some of the record attributes can be filled in automatically Others can be entered manually

With manual declaration you have the option of manually classify or auto-classify records If the auto classify rules return more than one match the system will present multiple classification possibilities for users to select

342 Quick declaration

IBM Document Manager configured with IBM Records Manager provides the option for users to declare a record manually with no or partial control of the declaration and classification process This process is called quick declaration There are three predefined classification methods that are associated with quick declaration

Auto

With this configuration IBM Document Manager can declare and classify documents automatically based on auto classification rules that have been set up in the IBM Records Manager system

By Property

With this configuration IBM Document Manager declares and classifies documents based on specific property values of the documents These properties can be configured by the administrator to be the designators for the classification and record types used in declaration

By Selection

With this configuration users are required to select the classifications of the records from a predefined list of classification and record type pairings before documents can be declared and classified as records

Figure 3-3 shows the automation level of various declaration options for IBM Document Manager

Figure 3-3 Declaration options and automation level in IBM Document Manager

CompleteManual

Declaration

QuickDeclaration

(Auto)

QuickDeclaration(Property)

QuickDeclaration(Selection)

35 Available options in IBM CommonStore solutions

IBM CommonStore for Lotus Dominois an archiving and restoring application for Lotus Notes documents and e-mails It can archive Notes document and e-mail content including attachments from any Lotus Notes database that is IBM CommonStore enabled and that resides on a Lotus Domino server

IBM CommonStore for Exchange Server is an archiving and restoring application for Microsoft Exchange Server It can archive Exchange messages including attachments from any Exchange mailbox that resides on an Exchange server

CommonStore for Lotus Domino and CommonStore for Exchange Server provide the following functions

Move or copy document content from Notes databases (CommonStore for Lotus Domino) or Exchange mailboxes including Exchange Folders (CommonStore for Exchange Server) to an archive

Search for content in an archive Retrieve or restore archived content Display archived content

You can create a record in the following ways with IBM CommonStore solutions (CommonStore for Lotus Domino and CommonStore for Exchange Server) configured with IBM Records Manager

Manual declaration Dragging and dropping to folders for declaration and classification Auto declaration

Note When working with IBM Document Manager configured with IBM Records Manager we recommend using quick declaration for common users because manual declaration requires users to know the details of the IBM Record Manager setup and be familiar with the file plan and potentially introduce more errors

Figure 3-4 shows the declaration level for the IBM CommonStore solutions

Figure 3-4 Declaration options and automation level in IBM CommonStore solutions

351 Declaration modes with single and multiple selections

The IBM CommonStore solutions support declaring e-mail messages and attachments as records in different ways How you design the system depends on the compliance and regulatory requirements financial requirements and business requirements of your company

Different declaration modes are available for different type of selection declarations

CompleteManual

DeclarationAuto

Declaration

DragampDropDeclaration

Note For IBM CommonStore for Lotus Domino the system can also archive Lotus Notes documents and declare these documents as records To simplify the description here we refer to e-mails or email messages to include Notes documents in the CommonStore for Lotus Domino case

Single selection declarationIf the system is set up with the single selection declaration option and the e-mails that the user selected have attachments the following declaration modes are supported

Declare a single record for both the e-mail message and its attachments

Declare the selected e-mail message and its attachments as individual records

First declare each of the attachments as separate records and then declare the e-mail message (without its attachments) as a record

Use both of these options

First declare each of the attachments as separate records and declare the e-mail message (without its attachments) as a record Then declare the e-mail message with all of its attachments as a single record This process might be necessary for compliance reason

Multiple selection declaration optionIf the system is set up with the multiple selection declaration option and the e-mails that the user selected have attachments the following declaration modes are supported

Declare only the e-mail message as a single record Declare the e-mail message with its attachments as a single record Declare only the attachments as a single record Declare each of the attachments as separate records

When an e-mail message and its attachments are declared as separate records the system defines a relationship between the declared attachments and the e-mail message automatically

352 Manual and auto classification

You must select a file plan classification to classify a record The methods of selecting classifications in IBM CommonStore solutions are

Users can select from a list of previously used classification or browse through a classification list

Use auto classify to classify this record according to the auto classify rules automatically The auto classify rules can be set up in the IBM Records Manager system If the auto classify rules return more than one match the user has to select one from the list

353 Dragging and dropping to folders for record declaration

Users can declare e-mails as records by dragging and dropping them into predefined folders The folders can be configured such that any e-mails being dropped in there will be declared as records The classification of the records can be based on the properties of the e-mail messages and a set of predefined auto classification rules

354 Sending and declaring e-mail messages

Users can declare outgoing e-mail messages as records in two ways

Auto declare

The outgoing e-mail message is declared as a record automatically when it is sent This method is useful when all sent and received e-mails from certain users must be declared as records according to special regulations

Manual declare

A dialog box appears before the e-mail is sent prompting the user whether the outgoing e-mail should be declared as a record or not

36 Available options in IBM Content Manager

IBM Content Manager is a content management solution that is designed to capture process and store large amount of content The content can be documents images and other electronic formats IBM Content Manager comes with a Windowsreg client and eClient Windows client also known as Client for Windows is a desktop client that provides capabilities for supporting production-level IBM Content Manager applications Using the Windows client you can import and export documents to Content Manager perform document workflow search and retrieve documents eClient is a browser-based client that provides capabilities similar to that of a Windows client

You can create a record in the following ways with IBM Content Manager (both Windows client and eClient)

Manual declaration Auto declaration

Figure 3-5 shows the declaration level for IBM Content Manager solution

Figure 3-5 Declaration options and automation level in IBM Content Manager

361 Manual and auto declaration

IBM Content Manager provides manual and auto declaration options Although IBM Content Manager as it is shipped does not provide a quick declare option (as in IBM Document Manager) or drag-and-drop folder declaration option (as in IBM CommonStore) there are APIs available for you to create custom declaration and classification process that helps users to easily classify documents

You must select a file plan classification to classify a record Similar to IBM CommonStore solutions the following classification options are available in Content Manager

Use auto classify to classify this record automatically according to the auto classify rules The auto classify rules can be set up in the IBM Records Manager system If the auto classify rules return more than one match user has to select one from the list

CompleteManual

DeclarationAuto

Declaration

Chapter 4 Security

This chapter describes how IBM Records Manager Security works through authenticate and authorization

Authentication and authorization Users and user groups Function access rights and permissions Restrictions on permissions Sample user roles and job responsibilities

4

41 Authentication and authorization

It is important that a business solution protects a company against unauthorized access and usage of its system particularly when dealing with records management In a records management solution when a document becomes a record it cannot be modified by any users The deletion of the record must be controlled based on the companyrsquos retention period for that record type Only records professionals and records administrators can control and maintain the companyrsquos file plan retention schedule records dispositions and user access to records In addition only authorized users have rights to declare documents as records search retrieve and view declared records

Providing security to a system means being able to identify the appropriate users as well as being able to allow them to perform only the actions they have rights to perform The security functions and features must be set up properly and effectively

These are the two key concepts in security

Authentication Authorization

Authentication is the process by which the system determines whether users are who they claim to be and whether they have access to the system Authorization is the process of establishing whether users have the permissions (or rights) to perform specific actions in the system Both are required to properly guard the system against unauthorized access and usage

IBM Records Manager provides authentication and authorization through users user groups function access rights and permissions

42 Users and user groups

Only authorized users can perform records management functions and features Before the system can determine whether a user has right to perform any task it has to authenticate the user Users must have proper user IDs in the records management system and have rights either explicitly assigned to them or to the groups that they belong to in order to perform records related tasks

In this section we discuss different types of users and user groups specific in IBM Records Manager system

421 Local and host users

IBM Records Manager supports two types of users local users and host users

Local usersLocal users are user accounts that are created within IBM Records Manager and are used exclusively for IBM Records Manager Local users can only access the IBM Records Manager system and they do not access the other applications Local users are maintained by IBM Records Manager Authentication of these users is executed by IBM Records Manager

Local user accounts are created for those users who need to perform records management related tasks Typical users include (terms might vary from company to company and industry to industry)

Records Technical Administrator

This person usually performs the following tasks

ndash Back up and maintain databasendash Address performance issuesndash Add indexesndash Schedule tasksndash Create and maintain style sheets for generating reports (using XML)

Records Manager

ndash Prepares and runs reports in IBM Records Managerndash Links retention rules to file plan components ndash Initiates suspensions (audit compliance legal or tax holds) ndash Executes life cycle management functions including record dispositions

Records Administrator

ndash Create file plan structurendash Create file plan componentsndash Maintain and assign function access rights and permissions to usersndash Apply changes to user group definitionsndash Perform audits

Compliance Officer

ndash Maintains auditingndash Creates audit reports

Chapter 4 Security 51

Special user AdministratorDuring the installation of IBM Records Manager one local user account is always created This user has all the rights assigned to it and is called administrator The administrator user ID cannot be deleted nor can its pre-assigned rights be modified

Host usersHost users are the users of the content repository system that store documents created by a host application In order for the host application to support records management functions it is configured or integrated with IBM Records Manager Host applications can use different content repository to store documents The users who have accounts in the content repository are considered as host users to IBM Records Manager

Host users are created originally in the host applicationrsquos content repository system They must be imported to IBM Records Manager for IBM Records Manager to assign appropriate rights to them

Unlike local users IBM Records Manager does not authenticate host users IBM Records Manager relies on the host application (for example IBM Content Manager) to perform user authentication

Host users access IBM Records Manager in one of two ways

Through the host application (for example IBM Document Manager or IBM Content Manager)

Through logon to IBM Records Manager system directly

Only users who have user accounts in IBM Records Manager can access IBM Records Manager system and perform records-related functions in the host applications When designing your solution determine which users perform records functions in the host applications These users can include users who

Note IBM Records Manager can be configured to work with the following products

IBM Document Manager IBM CommonStore for Lotus Domino IBM CommonStore for Exchange Server IBM Content Manager

Because all these products store their documents in IBM Content Manager system when they work with IBM Records Manager the content repository of the host application in this case is IBM Content Manager which means that host users are IBM Content Manager users

declare and classify records and those who have rights to search retrieve and view declared records You must import them (from IBM Content Manager for example) into IBM Records Manager and assign appropriate rights before they can perform any records management tasks

Host users can also perform IBM Records Manager administrative tasks as long they are granted with proper rights

Special users Operating system usersThere are special users who are necessary for the IBM Records Manager system to operate behind the scene from the technical perspective We include their information here You might want to revisit this section before and during your system installation and configuration

IBM Records Manager needs an operating system (Windows) user account to manage its database This user ID can be the same system administrator user ID for the content repository or a different one In the case of using IBM Content Manager as the content repository system by default this user ID is icmadmin This ID should be imported from IBM Content Manager

IBM Records Manager is an application and it is also an engine that when configured with an application enables the application to provide records management functions IBM Content Manager Records Enabler is a software component that provides the integration needed for an IBM Content Manager content repository system to configured with IBM Records Manager to provide this records management capability IBM Content Manager Records Enabler requires an operating system (Windows) user account Usually this user ID is CMREID and it has to be able to communicate with IBM Content Manager which means this user ID should also be an IBM Content Manager user ID

In an environment where the connection factory (required to access a connection instance) is used the system requires a Windows user ID to authenticate with the connection instance Usually this user ID is called IRMWAS

None of these special operating system users have any or require to have any user function within IBM Records Manager Nevertheless it is important to

Notes Always remember to include user accounts in the host application that perform specific services and tasks behind the scenes For example for IBM Document Manager system you must include the user ID that is used by Document Manager Designer to log on to the libraries (DDMService) and the user IDs that are used by the life cycle services and automation services if these services are set up to perform records declaration automatically

understand what these user IDs are for proper system installation maintenance and troubleshooting

422 Local and host groups

Users who require same access rights and perform similar tasks or have same job responsibilities can be grouped together to a user group Similar to users there are two types of user groups local groups and host groups

Local groupsThe grouping of users can be done in many ways Groups which are created in IBM Records Manager and are only known within IBM Records Manager are called local groups Local groups can include local users and host users

Special groups Public and AdministratorsThere are two special local groups

Public

After IBM Records Manager is installed a special local group Public is created by default It contains all users defined or imported to IBM Records Manager It includes both local users and host users This group can not be deleted

Administrators

After IBM Records Manager is installed a special local group Administrators is created by default It has all the function access rights assigned (which we discuss later) This group can not be deleted nor its assigned rights can be modified

Host groupsUser groups from the host environment can be imported to IBM Records Manager These groups are called host groups Host groups can only contain host users Importing host groups to IBM Records Manager does not automatically import the host users within the groups into the system We recommend import all the host users first before importing the host groups

43 Function access rights and permissions

Authorization is a process that determines if users have the rights to perform specific actions In IBM Records Manager it revolves around two elements

Function access rights Permissions

In this section we describe what function access rights and permissions are and how they help IBM Records Manager to control user usage of the system In addition we cover permission levels and how permission inheritance works

431 Function access rights

Function access rights define usersrsquo rights to access application features of IBM Records Manager Examples of function access rights include File Plan Design and Browse File Plan

Table 4-1 lists all the function access rights in IBM Records Manager Every function of IBM Records Manager is mapped to a function access right The appropriate function access right must be granted to a user before the user can perform the function Function access rights can be assigned to individual users and user groups

Table 4-1 IBM Records Manager function access rights

Important If a user is assigned to multiple function access rights either to the account directly or through multiple groups the userrsquos actual function access rights equal to the total of function access rights assigned In other words the overall function access rights of a user are the Boolean or operation of the function access rights among the user and all the groups to which the user belongs

Function access right Description

Audit Management Configure individual events to be audited

Disposal Authorities Create edit or delete disposal authorities

File Plan Design Design file plans

Browse File Plan Browse through file planImportant For a user to be able to declare records the user must have this function access right

Life Cycle Management Design

Define life cycle codes (retention schedule) life cycle phases and other life cycle management items

Life Cycle Management Operations

Execute life cycle management operations such as disposition

Pick List Management Create edit or delete pick lists

Profile Design Create edit and delete data entry profiles (forms) for all objects including file plan components and system objects

Security Management Define permissions at a global level

UsersGroups Management

Add edit or delete users and user groups

Record Host Management

Add edit or delete records

Extension Management Create edit and delete extensions that extend the functionality of the base IBM Records Manager

Reservation Management Create edit and delete reservations

Charge Out Management Create edit and delete charge outs

Auto Classify Rules Management

Create edit and delete auto classification rules

Default Management Create edit and delete defaults for different file plan component definitions

System Configuration Management

Customize the behavior of IBM Records Manager

Report Layout Manager Assign and delete report layouts

Report Query Management

Open delete and assign saved public queries to users and groups

Field Level Security Management

Define users who can change field level permissions

Security Descriptor Management

Maintain security descriptors

Security Classification Management

Maintain security classifications of records

Security Classification Reason Management

Maintain security classification reasons

Security Classification Exemption Management

Maintain security classification exemptions

Security Classification Guide Management

Maintain security classification guide

Audit Reporting Create audit report

Purge Audit Entries Purge audit entries

View All Audit Entries View all audit entries

Attention For a user to declare and classify records the user must have the function access right of Browse File Plan

Examples for function access rights assignmentsTypical users in a records management system as mentioned in ldquoLocal usersrdquo on page 51 include

Records Technical Administrator Records Manager Records Administrator Compliance Officer

Based on the tasks that these users usually perform we provide an example of their assigned function access rights in Table 4-2

Table 4-2 Function access rights required for different functional roles

Function Access Right Records Technician Admin

Records Manager

Compliance Officer

Records Admin

Audit Management N Y

Disposal Authorities N Y

File Plan Design N Y

Browse File Plan N Y

N Y

Pick List Management N Y

Profile Design N Y

Security Management N Y

UsersGroups Management N Y

Record Host Management N Y Y

Extension Management N Y

Reservation Management N

Charge Out Management N Y

N Y

Default Management N Y

In a typical scenario the Records Technical Administrator is responsible for system performance technical consistency of data and the availability of the system (refer to ldquoLocal usersrdquo on page 51 for tasks the person usually performs) This person does not have specific involvement with the IBM Records Manager features and functions Therefore in our example the Records Technical Administrator is not assigned with any function access rights

432 Permissions

Permissions grant users the right to perform specific tasks in a file plan They are used by IBM Records Manager to control what a user can do to the file plan (including file plan component definitions file plan components and records in the file plan components) In other words permissions specify who can do what and where (in the file plan) Permissions can be assigned to individual users and user groups

N Y

Report Layout Manager N Y

Report Query Management N Y

N Y

Audit Reporting N Y Y

Purge Audit Entries N Y

View All Audit Entries N Y

Records Manager

Compliance Officer

Records Admin

For example as part of a userrsquos job responsibility the user has to declare records This implies that the user must be able to browse through the file plan so that the user can assign a document to a particular file plan component Therefore (as mentioned earlier) this user requires the function access rights Browse File Plan To actually declare a document as a record which includes classifying the document into a specific file plan component the user must also be given Add and View permission to that file plan component

Table 4-3 shows the permissions available in IBM Records Manager

Table 4-3 Permissions available for file plan component

Important If a user is assigned to multiple permissions to the same file plan component or to multiple file plan components through different groups that the user belongs the userrsquos actual permissions equal to the total permissions assigned In other words the overall permissions on different file plan components of a user are the Boolean or operation of permissions among the user and all the groups to which the user belongs

Permission Description

Add Add a file plan component of a particular type

Update (Edit) Modify an existing file plan component of a particular typeImportant If the file plan component type is record type users with this permission can modify records metadata

Delete Remove a file plan component of a particular typeImportant If the file plan component type is record type users with this permission can undeclare records

View View the profile of a file plan component of a particular type users who cannot view a file plan component will not know its existence in the file planTips This is helpful in manual classification where you can limit the possible file plan components of which a user can view and thus use to declare records

Suspend Suspend records from transitioning through life cycle

UnSuspend Remove a suspension from records and allow records to continue through normal life cycle

Move Move a file plan component within the file plan

Change Permissions Alter the permissions assigned to a particular file plan component

Reserve Reserve a file plan component for oneself

By default users have no permission to access any file plan component except those who belong to the Administrators group You must go through the permission setting process to explicitly grant users and user groups their permissions

To summarize the minimum permissions that users require to declare and classify records into a particular file plan component are Add and View for that file plan component For users to view declared records they must be granted with the Host Retrieve permission For users who might have to update records metadata they must be granted with the Update permission

433 Permission levels and inheritance

Permissions can be set in three levels

System wide Component level (permission owner) Field level

System wide permission setting enables you to set permissions at the system level across multiple file plan components all at the same time Use this level when you want to set the same permissions across multiple file plan components for a group of users

Component level permission setting enables you to set permissions for an individual file plan component When it is set the file plan component also becomes the permission owner

Add Link Add a link

Delete Link Delete a link

Charge Out Charge out a file plan component to oneself or to someone else

Host Retrieve Retrieve records (whose content reside on a host application) from the IBM Records Manager system

Important To retrieve and view records from the IBM Records Manager system a user must have Host Retrieve permission assigned This is because the document content of a record does not reside in the IBM Records Manager system it is in the host applicationrsquos content repository

The system wide permission setting is inherited to all the file plan components in the system unless the component level permission setting exists When this is the scenario the permissions that are set at the component level override the permissions that are set at the system wide level Furthermore all components under these components in the file plan now inherit the component level permission setting If lower level file plan component has its own permission setting then the permission setting at the lower level override the inherited ones from upper level

Let us explain permission inheritance through the use of example We start with the file plan design we created as a case study for this book See Figure 4-1

Figure 4-1 File plan design and permission settings

EMEAEMEA

BankBank

CorporateRecords Client CommClient Comm

InsuranceInsurance

AmericasAmericas

(Add View)

(View)

(Add Delete View)

In this example we set permissions for a group of users as shown in Table 4-4

Table 4-4 Sample permission setting for the case study

This setting resulted in the effective permission setting for the group of users as shown in Table 4-5

Table 4-5 Effective permission setting from case study

Permission level Permissions for the group of users

System wide level Add View

Bank View

Client Communications Add Delete View

Component Effective permission

Permission inherited

Permission Owner

Americas Add View Yes(from system level)

Asia Pacific(and everything under it)

Add View Yes(from system level)

EMEA(and everything under it)

Bank View No Yes

Insurance(and other components under Americas except Bank)

Add View Yes(from Americas)

Employee Data(and everything under it)

View Yes(from Bank)

Corporate Records(and everything under it)

View Yes(from Bank)

No Yes

ComplaintsBusiness Communications Research Reports (and everything else underClient Communications)

Add Delete View

Yes(from Client Communications)

Noticed the component level permission setting always takes priority and overrides inherited setting A user can be granted more or less permissions under the component level than under the system level but it is the final component level permission setting that counts

There is also a distinction between

File plan component definition File plan component (or instance of file plan component definition) File plan component objects (which really are records)

To create a file plan you create the file plan component definition first You then create the actual component Thus the permissions associated with the component definitions are inherited by the components Everything under these components in turn inherit the same permissions If you change the permissions of the definition then all componentsrsquo permissions which are implicitly inherited from the definition are changed

If you change permission levels in a particular component this permission overrides the file plan component definitionrsquos permission setting Even when you change the permission at the file plan component definition level the componentrsquos own explicitly set permissions still override the component definitionrsquos permissions

Components either have lower level components underneath them or have records stored in them Records are considered component objects They inherit the permissions from the file plan components If a componentrsquos permission setting is changed the recordsrsquo permission setting also changes

If you change the permissions at the record level explicitly then that overrides everything else Regardless of what changes are done later at the file plan component definition level or at the file plan component the recordrsquos explicitly set permissions override them all

Another way to think of inheritance is if permissions are explicitly granted at one level then that level (whether it is a file plan component definition file plan component or records) becomes the permission owner The permissions set at this level override any inherited permissions from up and above the file plan When permissions are set at one level (whether through inheritance or through explicit setting) all other components (in the file plan hierarchy) under this will be set to the latest one As long as the permissions are inherited whenever the source where it is inherited from changes it will change as well However if it is the permission owner meaning the permissions are granted explicitly at the level other changes will not effect it

Field level permission setting extends permission controls to the field level of a file plan component A field in a file plan component is also called an attribute

The available permissions for the field level permission setting are

Add Update

The Add permission gives a user the right to specify a value for a field when adding a new file plan component or adding a record to a file plan component The Update permission gives a user the right to update a value for a field when updating a file plan component or updating the metadata of a record IBM Records Manager by default gives users both permissions to all the fields in a file plan component To restrict usersrsquo permission on the fields remove these permissions from the user or user groups at the field permission setting level

44 Restrictions on permissions

Permissions provides a means for IBM Records Manager to control who can do what and where in the system There are additional restrictions you can add to permissions to further enforce the tasks users can perform They include

Phase level permission Security classifications Security descriptors

Phase level permissionIBM Records Manager supports multiple phases in a recordrsquos life cycle It is possible to assign permissions to individual phases of a life cycle This result in a change of usersrsquo permissions on the records which are currently in the phase As long as a record is in a phase with an assigned user permissions the recordrsquos own permissions (about what users can do what actions on the records) will not be used The permission settings at the phase level overrides the permission settings of individual records (whether the records inherited the permission settings or had specific permissions assigned to them)

Note For mandatory fields of records that must have values filled in users can specify values for the fields even in the case of an add restriction

Security classificationsIBM Records Manager provides additional protection of records information using security classification model There are two classification models

Basic classification model

The basic classification model uses hierarchy of security classification to determines access to records The security classification is a numerical value For example 0 can stands for unclassified Users are assigned a security classification and records also get a security classification assigned to them Users can not access records with higher security classification assigned than what they are assigned

For example if some records are assigned security classification of 3 User group A is assigned a security classification of 0 group B 3 group C 4 Then users in group A cannot access these records Users in group B and C can access them

Full classification model

The full classification model tracks additional fields related to the security classification They include

ndash Security classification informationndash Security classification historyndash Security classification reasonsndash Security classification derivative sourcendash Security classification exemption

Security descriptorsSecurity descriptor is a series of words that describe the security restrictions for components and are used to restrict user access to them

You can assign a security descriptor to a component and assign a security descriptor to users and user groups If all the words which the security descriptor of a component is build of are contained within the words which a userrsquos security descriptor is made of plus all the words which all of userrsquos groupsrsquo security descriptor are made of this user has access to the component

45 Sample user roles and job responsibilities

In a large corporation where complex records management is required there are multiple people involved in the establishment and management of the corporationrsquos records policies records procedures file plan creation modification user security assignment the execution of day-to-day records

declaration classification and disposition and the maintenance of the records management system

Some userrsquos role is global while others are only pertained to their regional office As an example we provide a list of user roles and brief descriptions of what they do for a large corporation This serves as a reference point as what type of people you have to get involved as you plan design and maintain records management system for a large corporation

For a large corporation sample records management related personnel include the following people

One Technical Records Administrator

The Technical Records Administrator is not involved in IBM Records Management functions The person is responsible for system performance technical consistency of data and availability of the IBM Records Manager system This role can be partially delegated to other roles such as database administrators and system administrators

A Records Administrator for the whole company

The role of this type of Records Administrator is mainly to set up a standard world-wide file plan design for the company and set up the generic users and user groups including those countrygeography specific Records Administrators

A Records Administrator per countrygeography

The role of a countrygeography specific Records Administrator is to ensure the setup of local branches of the file plan matches the country specific regulations and laws

Within each countrygeography a Records Administrator per business segment

The role of a countrygeography business segment specific Records Administrator is to ensure the setup of local branches of the file plan according to local business segment specific regulations and laws

A Compliancy Officer for the whole company

This role is intended to run company-wide audits

A Compliancy Officer per geography or even per country

To follow local (country specific) laws and regulations and execute audits within this scope You might need people who have the skills regarding the countrygeography specific law and regulation

A Records Manager per business segment

A business segment Records Manager should be able to define and declare records within the business segment of the company according to the business segment specific file plan branches

A Records Manager per business segment per country

This Records Manager should be able to define and declare records within business segments of the company according to business segment specific file plan branches taking into account local and country specific regulations and laws This type of Records Manager do the largest amount of daily work

Business users who produce documents which might or might not be treated as records

In an optimally organized structure business users should not be involved in the process of declaring and classifying their documents as records though often in their processes they might have to declare records themselves due to special nature of the records

Chapter 5 Disposition discovery and hold

This chapter discusses what happens to records when they are at the end of their retention period as discussed in Chapter 2 ldquoRetention schedule and a file planrdquo on page 21 We also address the need for discovery and the action of hold

Records disposition Discovery Hold

5

51 Records disposition

Disposition defines what happens to records at the end of their retention period a process commonly referred to as records scheduling in IBM Records Manager terms Most records are destroyed at the end of their life but not all There are several options to dispose records How records are disposed depends on the compliance and regulatory requirements business requirements and good business practices

511 Disposition optionsThere are three main options to dispose records

Destroy (expunge) Accession (archiving) Review

DestroyDestroy is the confidential deletion of the records content and metadata It is an option supported by IBM Records Manager The records management term for this is expunging which means irrevocably deleting the record so that not even document forensics can recover any aspect of it Electronic records are usually overwritten at the disk bit level (and independent validation can be demonstrated such as provided by gaining US DoD 50152 STD certification) For physical records they were usually burned or shredded but nowadays due to environmental concerns they might be destroyed in acid baths

AccessionAccession is sometimes called archiving The records are no longer tracked or kept in the companyrsquos records management system but their provenance (history) is maintained as they are passed to some other records holding authority can be to the corporate archives Note that the electronic copies of the records should be destroyed from the records management system after the transfer

ReviewReview highlights the records at the end of their currently defined life cycle and enables the records staff and organization to review and possibly change the retention or period of reviewing the disposition of the records again (for example in a yearrsquos time)

512 Records scheduling and IBM Records Manager

How often does this structured records review and disposition occur Generally records scheduling is performed only once a quarter or once a year This scheduling was the common schedule for dealing with physical (paper) records which resulted in a sizable collection of records to be reviewed and processed just for physical paper and objects in boxes

IBM Records Manager provides scheduled processes for the production of candidate record lists for disposition In addition IBM Records Manager can provide the candidate record lists for disposition based on a specific time in the past present or future The ability to generate the records disposition lists for a future time means records staff can seek disposal approvals from the original records owner departments before the records are scheduled to be disposed When the scheduled disposition time arrives records staff can quickly dispose records (either through destruction or archiving)

With a central system for records management companies with IBM Records Manager can achieve more regular timely scheduling of records appropriately controlled and audited The repeatable structured process can be set to run at any time or date and auctioned in the knowledge that any holds applied will ensure only unheld records will be destroyed (In records and legal circles the terms tax legal litigation and records holds are common Here we use the generic term of hold) For more information about hold refer to 53 ldquoHoldrdquo on page 77

Risk of not performing records dispositionAnother way to view scheduling is in the risk of not doing it In the past companies felt that it was best to simply keep everything Storage keeps getting cheaper (but the management and finding of items stored does not) In the past few years where records and compliance have risen in importance and have now been mandated organizations realize that they cannot just keep everything Records scheduling provides a structured and consistent means to destroy records on a timely basis If a company performs its records scheduling only twice a year it increases the risk of having the records that should be deleted still be in the system and available to be discovered if a court-ordered discovery is imposed as well as the increase in the discovery costs For more information on discovery refer to 52 ldquoDiscoveryrdquo on page 72

Disposition resultsIt is critical to have auditable admissible history of what actions on the record management systems have occurred It is best to ensure that the record management system can audit the individual destructions although that volume of audit log and metadata can quickly be unmanageable at that level More

Chapter 5 Disposition discovery and hold 71

practical is to perform scheduling more often and have the audit results be able to convey the scheduling that occurred (for example who triggered it across what type of records what are the retention rules and date ranges)

IBM Records Manager provides a multi-step process for scheduling each step of which is auditable and can be reported on in summary or down to the individual record destruction level Scheduling logs can also be kept separately and can even be exported in XML for reuse and reprocessing in the future

Freedom of Information Act The Freedom of Information Act (FOIA) searches or discovery requests are ever more common When mandated to do so organizations must search across unclassified information and provide copies of the original records They must also perform the search and provide the copies or a statement of when in a reasonable period the results of the search will be produced usually within a set deadline as specified by law (for example the US Federal FOIA results or statement are due within 20 business days)

What if an organization has appropriately destroyed or otherwise dispositioned its records according to its approved retention schedule and records processes Simply stating ldquowe no longer have the records related to that topic or issuerdquo might not hold up in the courts or the court of public opinion With IBM Records Manager use of preserving metadata (but not preserving the actual record content) and scheduling audit the organization can show that past records related to the topic existed but that according to and with proof of action the standard records processes and schedules such records were destroyed

Organizations must always demonstrate consistency in processes and actions related to records

52 Discovery

Discovery is the process of searching across all content (whether or not the content includes records) and identifying those that match the discovery and hold order usually when ordered by courts (and related to hold orders) After being filtered to remove anything under any attorney-client privilege or other classified restriction and following negotiation with both sides of the legal issue on the terms and issues to search on the results must be made records (if they are not already) placed on a hold (so they remain until the end of the legal issue) and exported to opposing council (can be to a CD archive of some size in some agreed format)

The time and costs of resources and equipment to do discovery is huge Imagine an organization that has kept years of backup tapes of their e-mail servers the time and costs of resources and equipment to do discovery is huge The liability is also huge

Above all any organization deploying and using an record management system must engage both their records staff and legal department Applying consistent e-mail records processes with a records management system can reduce the risk and cost of discovery and information management overall The party responding to the discovery order usually has to bear the asymmetrical cost of performing that discovery

Current discovery related facts In 2004 one in five US companies had an employees e-mail subpoenaed in the course of a lawsuit or regulator investigation (Time Magazine 20-Sept-2004)

According to the Third Annual Litigation Trends Survey Findings by Fulbright amp Jaworski LLP companies worldwide spend on average of $158 million annually on all their legal work 40 of respondents had one or more lawsuits filed against them in which $20 million or more was at issue1

In June 2007 according to a LiveOffice survey conducted by Osterman Research which polled more than 400 IT mangers and users nationwide 63 of respondents have been required to produce an e-mail as part of a legal action However 53 admit that they are not prepared to meet the new requirements of the amendments made to the Federal Rules of Civil Procedure (FRCP)2

The new amendments made to the FRCP require organizations that operate within the US to manage their electronic data so that it can be produced in a timely and complete manner3

The overall experience is the volume and size of e-discovery needs are increasing across the board along with formal records and hold capabilities integrated closely with electronic content management

Note The key to practical electronic discovery starts with strong processes manual practices and knowledge of the e-mail storage and record system infrastructure

1 Third Annual Third Annual Litigation Trends Survey Findings by Fullbright amp Jaworski LLP (October 2006) Copyright 2006 Fullbright amp Jaworski LLP available online athttpwwwfulbrightcomindexcfmfuseaction=correspondenceformfindings

2 LiveOffice June 2007 survey conducted by Osterman Research3 According to httpwwwmarketwirecommwreleasedoid=745509

521 Discovery process

Example 5-1 shows an example of a discovery order to be delivered within 72 hours

Example 5-1 Example of discovery order to be delivered within 72 hours

All Documents exchanged between you or persons in your area and the following entities entity A entity B entity C entity X and any of the entities merged into that entity and their predecessor entities any affiliates of XXX and any of the entities that merged into that entity and their predecessor entities ltmore company name more entity names more special group names or whatever other entities are involvedgt concerning ltspecific programs processes events or peoplegt

When a discovery order is issued a typical discovery process consists of the following steps

1 Evidence collection

Identify relevant content repositories and storage medium Remove any content duplications Remove anything under any attorney-client privilege or other classified restriction Identify relevant and responsive content

2 Evidence processing

Extracting metadata from the collection Ensure that the integrity and inalterability of the metadata is maintained throughout the restoration process

3 Evidence review

Design development and establish a hosting location for the evidence review database to support the discovery process

4 Evidence production

Create output of content deemed to be responsive to the discovery request (commonly they are in native file format)

Any content that are relevant to the discovery order must be searched They can include e-mails electronic documents Instant Messaging data transactions Web site content hard copy documents audio video and other medias in file room and records room

An organization must be able to supply the requested documents within the required time There are many challenges in a discovery process Some of them include

How many resources do you potentially have to pull off from other duties to begin opening all the file cabinets archives sent to storage facilities searching file shares backup tapes and disks

How are you going to search through all e-mails electronic documents paper documents data Instant Messaging and other content

Who will process the paper to ensure they are relevant to the discovery search Who will remove the duplicates Who will read them line by line page by page to ensure no company confidential or client confidential information is revealed

Who will stand behind the results and swear in court that what is presented is everything that is related to the order

Many organizations today still adhere to the twentieth century idea of ldquolet us keep everything because storage is cheaprdquo Several of these companies have ended up in the news and have realized that it might be damaging to the organization to keep information for too long

An assessment of an organizationrsquos records policies and records procedures is important to ensure that the right records and information can be located preserved and produced for discovery when necessary The creation of an effective legal hold policy to stop the destruction of records is also important In addition assessment of the organizationrsquos IT infrastructure is necessary to ensure that it can effectively support discovery and legal hold process and preserve all necessary records and data compilations without hindering business operations

522 Spoliation

The courts and federal rules of civil procedure mandate timely discovery search and record production The media continues to portray stories of companies large and small who fail to perform timely or accurate discovery and who suffer large business impacts of fines or other restrictions because of their actions

Spoliation involves deliberately deleting documents or changing the content of documents Organizations need to avoid spoliation Organizations that perform discovery and record production must ensure that they do not alter the original format or context of the discovered content and can deliver them in some original or representative form A harder but now very real challenge is to predict or expect some discovery orders even when such an order has not been received Companies need to act to predict and to ensure that their normal

record and non-record content archiving and destruction processes especially when automated are held or stopped to ensure future spoliation Organizations have lost cases or suffered large financial consequences not by what was found in discovery but by being allegedly found to have destroyed or altered records

523 Security considerations

A record management system must support secure discovery All record access must be logged as do all actions to package filter review refine the search hold and export discovered content The ability to control who has discovery search and export options is also critical You do not want any user in a company to be able to search all sensitive documents and records Usually such discovery is performed by paralegals or record staff and only through specific user accounts with security permissions to do wide-ranging searches and discovery actions

524 The role of IBM Records Manager

An organization must have a consistently deployed records management program that enable single enterprise search for discovery of records and non-records content The records management system should have consistency in the records declaration and classification and the ability to declare non-records content as records It should also be able to support hold and release orders in a consistent fashion A central disposition authority is required for an organization

Using IBM Records Manager the central disposition authority can play several roles

Allow for the declaration and hold of the discovered content Typically content identified during discovery must have their retention period placed on hold or suspended so they are not deleted during the course of the legal action

Provide reporting and auditing functions for declared records Show when records were created who has accessed them and when and where they are in their retention schedule If records were disposed show when and how the disposition took place

Provide a search interface for declared records When a records management solution has been implemented the IBM Records Manager search interface can provide a convenient interface to find records quickly

With existing business partner integrations IBM Records Manager can also manage physical records rooms (Space management cost calculations and disposition notification)

Help ensure the destruction of records according to approved rules and record that destruction

IBM Records Manager provides a key piece of a comprehensive corporate records management solution However you must configure IBM Records Manager with your repositories use proper procedures for records declaration and classification In addition always remember that during discovery even if content are not declared as records they can be searched Currently several options are available to help search against federated content repository Contact an IBM Representative for more information

53 Hold

A hold is an action taken on records collections to ensure that they are not dispositioned (deleted or archived) as part of their normal retention schedule life and are kept possibly beyond their scheduled date of destruction For example if a retention rule specifies that all e-mail records must be kept for three years before deletion then any such record on hold (having a hold applied to it) that reaches that three-year period will not be (and cannot be) deleted A hold might also have other direct impacts such as the freezing of information sharing such as educational records and transcripts triggered by a hold applied due to lack of payment

531 Reasons for using holds on records

A lawsuit is served on a company and might or might not explicitly refer to holds As part of a lawsuit the court now commonly instructs the company to freeze its normal records destruction processes to ensure that discovery (searches) and evidence can be found Regulatory auditors can order a company to apply holds as part of an investigation Internally due to discrimination or another issue or allegation a company might determine that it must apply a hold related to a certain business process customer supplier or employee

In recent years the media worldwide has portrayed and continues to do so graphic terminal examples of companies and employees who either failed to apply holds and stop records destruction who actively ignored hold orders and actively destroyed records (with commercials even portraying imaginary executives at night on the top floor shredding documents endlessly) or in more recent times failed (according to courts) to adequately forecast or expect to be placed under hold orders Rapid erosion of market and customer confidence multi-million dollar fines jail terms and company closings have resulted

532 Applying holds

Usually a companyrsquos legal department receives or determines independently to define and apply holds The legal department does not usually apply holds to records themselves but rather passes or directs the holds internally to records owners (business process owners) and most commonly to the records department and records managers It is then the responsibility of the records staff to find and determine the records to apply the holds to and ensure that such records are preserved and not destroyed if they reach the end of their life Organizations must be able to demonstrate that as well as having a strong central records-keeping solution they have consistent processes for receiving applying and removing holds

Holds can have a duration specified or a date for next review This duration enables the records staff to review along with the legal staff the future review status of the records and holds and any change in status that should occur

Holds can be applied immediately As in all things records-related one size and practice does not fit all Some records staff with mature records processes and systems can search and apply any number of holds across their whole records collections physical and electronic records to ensure that they are identified as on-hold and will never be dispositioned Other records staff can choose to add the hold review as part of the end-of-life disposition process In this way they can review any candidate records that are due for destruction to see whether they should be held and not destroyed although they can end up doing more work later on in the process

There are two main ways to apply holds with IBM Records Manager

Browse to a file plan location or container for example for a particular matter or case or customer

Search across all records for related terms keywords or metadata that make them candidates for the hold for example hold all financial trade records

533 Hold length

Holds do not last forever Most records are not kept forever At some point days weeks months or years later the hold can be removed when the legal or other issue is closed or settled or an internal investigation is completed Whatever the

Note In IBM Records Manager the term and function suspension is used to represent and action all types of holds In other words a suspension is the same thing as a hold

reason usually the legal department can determine and then instruct the records department to remove the hold and continue the standard retention schedule on those records

Sometimes the same retention will remain and in the future the records will expire as planned If the hold had been applied and removed after the original retention date then those records could immediately become candidates for destruction Occasionally the legal records and business process might decide to apply a new retention on the records that were previously on hold in effect extending the retention The key is to follow documented record processes and practices to achieve this To be able to demonstrate to courts consistency is key

One of the most important aspects of a companyrsquos records hold process is from a legal perspective to demonstrate a high level of documented consistency in applying holds and later disposition

IBM Records Manager provides comprehensive economic hold functionality IBM Records Manager can

Be the central point to define track apply and remove all corporate holds

Provide immediate browse and search options to apply holds

Support an unlimited number of holds that can be applied across any record types in the record collection

Support tracking of multiple holds on the same record

Provide reporting of which holds are applied on which records

Audit consistent application and removal of holds

Provide economic hold support by facilitating the hold application up front which enables Records Manager to filter any held records from any disposition lists

Provide secure hold functionality so that only designated staff can review apply and remove holds (not all holds should be seen by all staff)

Chapter 6 IBM Records Manager system components

In this chapter we introduce IBM Records Manager and its system components We also address IBM Content Manager Records Enabler which acts as a connector that connects the IBM Records Manager capabilities to existing business applications that use IBM Content Manager as the backend repositories

Overview of IBM Records Manager IBM Records Manager components IBM Content Manager Records Enabler

6

61 Overview of IBM Records Manager

IBM Records Manager is an application and also an engine that provides records management capabilities including file plan management records classification retention disposition and records auditing in records-enabled business applications IBM Records Manager provides a single and consistent records management platform with extensive record-keeping capabilities for both electronic and physical information assets It helps meet government and industry requirements for formal records management

IBM Records Manager delivers records management functions through the embedded engine technology You can configure it with the following products

IBM Content Manager IBM Content Manager OnDemand IBM Document Manager IBM CommonStore for Lotus Domino IBM CommonStore for Exchange Server

Being an external records management engine means that IBM Records Manager can work with multiple business applications using different content repositories either through simple configuration or custom applications using IBM Records Manager APIs

IBM Records Manager provides the following records keeping functions

Records declaration and classification Records life cycle management Records metadata management Records content searching retrieval and viewing (including text search) Document auditing and reporting User and security management

Using IBM Records Manager with business applications can provide the following benefits

Reduced litigation risk through structured document destruction Reduced discovery costs during litigation through improved evidence

discovery Assist in demonstrating compliance with regulations Reduced operational costs Securely maintain corporate records Support key standards

IBM Records Manager also provides the following features and advantages

Embedded engine technologymdashno new application to learn and maintain Web-based client for records administration Quick integration using multiple client technologies Scalable architecture Content maintained in host repository no redundant data

You can customize your business application to declare and classify records manually automatically or somewhere in between

The component model that IBM Records Manager uses enables maximum scalability and a variety of deployment options to suit companyrsquos needs It is important to become familiar with the individual components of IBM Records Manager before implementing a records management solution

62 IBM Records Manager components

IBM Records Manager consists of the following major components

IBM Records Manager engine IBM Records Manager database IBM Records Manager application programming interfaces IBM Records Manager administration client

This section discusses these major components

621 IBM Records Manager engine

The IBM Records Manager engine is a Javatrade 2 Platform Enterprise Edition (J2EEtrade) application that uses Enterprise JavaBeanstrade (EJBtrade) technology and runs as a WebSpherereg Application Server application It manages the system logic dictated by the customer file plan and retention schedule

Organizations can embed the engine into their e-mail workflow document management imaging or other applications to add records management functions to their applications

622 IBM Records Manager database

The IBM Records Manager database is where all the file plan design and configuration retention schedule and rules reports and auditing information and other records management related system information are stored The records classification and records metadata are stored and managed within the IBM

Chapter 6 IBM Records Manager system components 83

Records Manager database The content of the declared records stay with the original content repository where they were created by business applications IBM Records Manager only keeps necessary records-related metadata information to manage the records

IBM Records Manager database supports DB2 Oraclereg and SQL Servertrade which allows for great flexibility in the deployment of the solution

With the latest version of IBM Records Manager 413 you can install the database by itself or you can install it in the same database of the associated business application For example you can set it up to share the same database as IBM Content Manager Library Server when configured IBM Records Manager with IBM Content Manager

The interface to the records collection and record solution configuration can be done either through the IBM Records Manager administrator Web client or by custom applications using IBM Records Manager APIs

623 IBM Records Manager application programming interfaces

You can use the IBM Records Manager application programming interfaces (APIs) to embed IBM Records Manager engine into business applications (other than what are currently supported by simple configuration) All IBM Records Manager functions are exposed through the APIs You can also use the APIs to create your customized client interface to IBM Records Manager

Sample codes for using the APIs are provided in the documentation directory created during IBM Records Manager installation A toolkit is available on the IBM FTP site which contains additional code samples sample reports with XML XSL and PDF results and the National Archives (PRO) and DoD 50152 samples

The current link to the IBM FTP site is

ftpftpsoftwareibmcomsoftwaredb2recordmanagerIRM411Toolkit

624 IBM Records Manager administration client

The IBM Records Manager administration client is a browser-based application that enables one to perform records management related tasks inside of the IBM

Important IBM Records Manager does not keep the content of the records The content of the records always stay within the content repository where content were created by business applications

Records Manager system This is where the system configuration definition file plan design and configuration retention schedule and rules are created and managed It is built using the IBM Records Manager APIs

Using this client you can also perform other records management related functions Some of the functions include

Records searching and reporting

Records maintenance duties including auditing holds and disposition or records scheduling

Importing or defining users and groups

Setting users permission and access rights

Performing retention management activities

63 IBM Content Manager Records Enabler

IBM Records Manager is an engine that provides records management capabilities To configure or integrate it with existing business applications you need a connector that integrates and connects IBM Records Manager with the existing business applications IBM Content Manager Records Enabler is the connector that connects IBM Content Manager with IBM Records Manager With IBM Content Manager Records Enabler any business application whose backend content repository is using IBM Content Manager can be configured with IBM Records Manager without additional programming (unless of course you want to accomplish special custom look and feel or add additional semi-auto declaration and classification features into the existing business application beyond what is provided with the product as it is shipped)

If the existing business application does not use IBM Content Manager you can create an application or connector specific to that repository with the provided IBM Records Manager APIs Alternatively you can consider implementing IBM Federated Records Management Offering For more information about the Federated Records Management Offering contact your IBM Representatives

IBM Content Manager Records Enabler is consist of the following software components

IBM Content Manager Records Enabler Server IBM Content Manager Records Enabler Host Interface Application Server

631 IBM Content Manager Records Enabler Server

IBM Content Manager Records Enabler Server is a software application that provides a centralized interface for handling records-related user requests and the appropriate actions required by these requests An example would be handling userrsquos declaring a document to be a record

632 IBM Content Manager Records Enabler Host Interface Application Server

IBM Content Manager Records Enabler Host Interface Application Server is a software application that provides the interface between IBM Content Manager and IBM Records Manager through the host interface APIs Most communications between the two products are handled by this software component

633 Changes in IBM Records Manager Version 413

In the latest version of IBM Records Manager 413 the IBM Records Manager database by default resides on the same database as the content repositoryrsquos application Thus when using IBM Content Manager as the content repository the IBM Records Manager data resides inside of IBM Content Manager Library Server database The result of this version is that the performance is improved and the elimination of the Permission Synchronization Server which was providing updates to object permissions from IBM Records Manager to IBM Content Manager

Existing records management solutions should review the updated publications as well as the fix pack readme for each component and fully understand the implications of the update Backups of the existing system databases and code should be made before performing any update

Part 2 Solution implementation

This part provides the steps that are required to implement an IBM Records Manager solution including

Installing IBM Records Manager and IBM Content Manager Records Enabler Creating file plan and retention schedule Creating profile and custom attributes Declaration and classification configuration

It also discusses the steps to perform the following practical records management activities

Searches and reporting Auditing and monitoring Records disposition

Part 2

Chapter 7 Product and solution installation

In this chapter we describe the steps that are required to set up existing enterprise content management applications with IBM Records Manager

We cover following topics

Before you begin Installation process overview Installing IBM Records Manager Installing IBM Content Manager Records Enabler Importing IBM Content Manager administration user ID to IBM Records

Manager Configuring the relation between IBM Content Manager and IBM Records

Manager

7

Note We assume you already have a working business application system running The instructions provided in this chapter works with the following IBM enterprise content management products

71 Before you begin

We assume you are working with one of the enterprise content management solutions Before you begin to add IBM Records Manager into the solution make sure everything in your current system works as expected

If you just installed the system at the minimum run the installation verification procedure that comes with each product You can run First Steps of IBM Content Manager installation software to populate testing data to the system We also recommend that you install IBM Content Manager Windows Client on a desktop connect it to the IBM Content Manager system and then perform some file import search and retrieve

Always check for the latest documentation on releases and fix pack level Use the latest version whenever possible

Take a backup of the system before you begin IBM Records Manager related installation

Install the necessary software and fix packs You should get both IBM Records Manager software and IBM Content Manager for Records Enabler software

It is beyond the scope of this book to describe how to install any of the enterprise content management products Consult the technical manuals and available IBM Redbooks publications for the pre-requisite and details of the product installations

72 Installation process overview

If you have never installed IBM Records Manager in your system and you want to install the latest version of IBM Records Manager to work with IBM Content Manager perform the following steps

1 Install IBM Records Manager

a Install IBM Records Manager V411 database

b Upgrade IBM Records Manager V411 database to V413

c Install IBM Records Manager V413 engine

d Configure IBM Records Manager engine

2 Install IBM Content Manager Records Enabler

3 Import IBM Content Manager administrative user to IBM Records Manager

4 Configure IBM Content Manager and IBM Records Manager

If you already have IBM Records Manager V411 or V412 installed perform the following steps

1 Upgrade IBM Records Manager

a Upgrade IBM Records Manager V411 (or V412) database to V413

b Install IBM Records Manager engine V413

c Configure IBM Records Manager engine

3 Import IBM Content Manager administrator user to IBM Records Manager

If you install IBM Records Manager as a stand-alone application you can skip the last three steps from the previous two types of installation In addition you can use any one of the three supported databases (DB2 Oracle and MS SQL Server) for IBM Records Manager database

If you are configuring or integrating the IBM Records Manager functions to IBM Content Manager then the database that you choose to install for IBM Records Manager must be the same as the existing business application

721 Installation options

You can install everything on separate machines on one machine or on the machine that is currently running IBM Content Manager Library Server

If you are doing proof of concept or testing it might be simpler to install everything in one machine For production environment you might want to separate them to different machines or nodes

Note IBM Records Manager database should be installed on the same database as IBM Content Manager Library Server The database must be of the same type Because IBM Records Manager database has to be setup as Unicode make sure this installation does not conflict with IBM Content Manager Library Server database

The IBM Records Manager V411 (GA version) database must be installed (or exist) prior to installing (upgrade to) IBM Records Manager V413 database At the time of writing there is no direct installation of IBM Records Manager V413 database

As part of the upgrade the IBM Records Manager V411 database is migrated into IBM Content Manager Library Server database The V411 database serves as a temporary database only

Chapter 7 Product and solution installation 91

To decide how you want to install different components take into account the CPU usage database access and IO You want to avoid network traffic whenever possible

Whenever resources are available we always recommend installing IBM Records Manager engine separate from where IBM Records Manager database is installed Note that IBM Records Manager database tables reside on the same database as IBM Content Manager Library Server (in the case of enterprise content management solution)

722 Version and fix packs checklist

This versions and fix packs we include here provide the minimum and recommended versions and fix packs of the prerequisites and solutions components at the time of writing We include them here for your reference Always check the latest information about supported versions and fix packs before you perform the actual installation

The minimum and recommended versions and fix packs (again the list is subject to change)

Microsoft Windows Serverreg

Microsoft Windows 2000 server or Microsoft Windows 2003 server

IBM DB2

DB2 UDB V81 + fix pack (fp) 13 or higher or DB2 UDB V82 + fp 6or higher (equivalent to preceding)

IBM WebSphere Application Server

WebSphere Application Server 51 + fp 1 + cumulative fp2 or higher including messaging services or WebSphere Application Server 60 + fix pack 2 or higher including messaging services

IBM Content Manager

ndash IBM Content Manager servers V83 + fp 3a + fp 4ndash IBM Information Integrator for Content V83 + fp 3a + fp 4ndash IBM Content Manager administration client V83 + fp 3a + fp 4ndash IBM Content Manager Windows client V83 + fp 4ndash IBM Content Manager eClient V83 + fp 3a + fp 4

IBM Records Manager

ndash IBM Records Manager database V411 or IBM Records Manager database V412

ndash Upgrade to IBM Records Manager database V413ndash IBM Records Manager engine V413

IBM Content Manager Records Enabler

ndash IBM Content Manager Records Enabler Server V8304ndash IBM Content Manager Records Manager Host Interface Application Server

V8304

IBM Document Manager V83 fp4

IBM CommonStore for Lotus Domino 83 + fp 1 (or v831)

IBM CommonStore for Exchange Server 83 + fp 1 (or v831)

Lotus Domino Server V6 or V65 or Lotus Domino Server V7

Lotus Domino API

Domino Server OO API V6 or V65

or Domino Server OO API V7

or Notes API V6 or V65

or Notes API V7

Lotus Notes

ndash Lotus Notes client V6 or V65or Lotus Notes client V7

ndash Lotus Notes admin client V6 or V65or Lotus Notes admin client V7

ndash Lotus Notes designer V6 or V65 (only if development required)or Lotus Notes designer V7

MS Active Directoryreg

MS Active Directory server 2000or MS Active Directory server 2003

MS Exchange Server

MS Exchange Server 2000or MS Exchange Server 2003

Outlookreg with CDO library

MAPI

ndash Outlook MAPI on the machine running CSX client functions

ndash Outlook MAPI or Exchange MAPI (not recommended) on the machines running CSX task on Windows 2000

ndash Outlook MAPI on the machines running CSX task on Windows 2003

73 Installing IBM Records Manager

To install IBM Records Manager follow these steps

1 Install IBM Records Manager V411 database

2 Upgrade IBM Records Manager V411 database to V413

3 Install IBM Records Manager V413 engine

4 Configure IBM Records Manager engine

We describe these steps in this section

Before you begin any of the installation phases make sure you collect the required information such as the names of databases location and user IDs that you use during the installation For your convenience we include a list of these information that you required to know at the beginning of each step

731 Installing IBM Records Manager V411 database

As mentioned earlier IBM Records Manager V411 database is a prerequisite for a V413 database You have to perform this step if you do not already have an existing installation of IBM Records Manager V411 or V412 IBM Records Manager V413 installation does not provide creation of the IBM Records Manager database It requires that you to have an existing one from V411 or V412 and upgrade from there This database exists only temporarily

Required information during installationTable 7-1 provides the information that you need while installing IBM Records Manager V411 database The table includes the default value and sample value for each field with a brief description for each field when necessary

Table 7-1 Information required during IBM Records Manager V411 database installation

Note Our description is for installing IBM Records Manager on a Windows system using only DB2 as databases For other platforms this instruction serves only as a reference You need to refer to the product manual for detailed instructions for other platforms

Information Default value Sample value Description

IBM Records Manager Database Administrator User ID

irmadmin irmadmin WIndows administrative user ID Used only for the temporary V411 database

Install Directory For IBM Records Manager 411 Database

CProgram FilesIBM DB2RecordsManager 411 Data base

CProgram FilesIBM DB2RecordsManager 411Data base

Needed for the V411 database program code

Database Type DB2

JDBCtrade Driver Classpath

CProgram FilesIBM SQLLIBjava

DB2 Java subdirectory of the DB2 program code

Custom Automatic Database creation

automatic automatic If custom you can create the database manually

DB2 Node Instance name

DB2 Instance of the DB2 installation

Database Name IRM411 Name of the temporary V411 database

Default Disk C C Disk drive for the temporary V411 database

Folder for Database Containers

CDB2 Folder to install the temporary V411 database

User Name irmadmin Schema owner user ID of V411 database Usually it is same as the IBM Records Manager DB administrator user ID

Territory default default (this is a valid selection)

Collating Sequence system system Your DB instance is probably using the correct collating sequence

DB Language english english Your preferred language

Sys Admin User Name

db2admin DB2 system admin at time of DB2 install

Database file plan population

empty If you want to test with samples select samples

Detailed installation stepsTo install IBM Records Manager perform the following detailed steps

1 As Windows administrator create an administrative Windows user (for example irmadmin) Make it member of the DB2ADMNS group

2 From the installation media for IBM Records Manager V411 start the Installation Launchpad Select your preferred choice of language for the Launchpad

3 Select Database Installation Figure 7-1 shows the Launchpad with Database Installation selected

Figure 7-1 IBM Records Manager V411 launchpad

4 Select your preferred choice of language for the Installation Wizard

5 Click Next on the Welcome window

6 Read the license agreement select I accept and click Next on the License Agreement window

7 Click Next on the Readme window after reading the text

8 On the Installation Directory Selection window keep the default location or change to a directory of your choice Click Next

9 On the Database Type window select DB2 and enter the location of the DB2 JDBC driver Usually this driver can be found in the Java directory of the DB2 installation directory In a standard DB2 installation it is in CProgram FilesIBMSQLLIBjava Click Next

10On the Database Creation window select Automatic and click Next

11In the Database Configuration window complete the information required to create the new database

ndash DB2 NodeInstance Name Usually this is DB2

ndash Database Name This is the name for the temporary IBM Records Manager v411 database You can enter any name that you want We use IRM411

ndash Default Disk This is the default disk drive letter where you want to locate the database containers We use C

ndash Folder for Database Containers A folder is where you want to locate the database containers We use CDB2

ndash User Name and User Password User ID and password of the owner of the temporary IBM Records Manager V411 database

ndash Territory Leave it as is We use default (which is a possible selection)

ndash Collating Sequence If there is no need to change the collating sequence leave it as is We use System Collating sequences are used to present results in a different sequence than usually assumed Examples can be different placing of German or Scandinavian Umlauts such as Auml and oslash

ndash DB Language Select your preferred language Leave it as English unless your company or your Content Manager database uses another language

ndash Sys Admin User name and Sys Admin User Password User ID and password of the Windows user used to install DB2 This ID is usually db2admin and whatever the password you used

Figure 7-2 shows the Database Configuration window

Figure 7-2 IBM Records Manager V411 database configuration

12Click Next

13On the Database File plan window select empty and click Next

14Read the summary on the Installation Summary window and click Next

15Wait for the database to be created On the Completed window click Finish

16In the Installation Launchpad select Exit

732 Upgrading IBM Records Manager V411 database to V413

Assuming that you use IBM Content Manager in your business application you need to upgrade the existing IBM Records Manager V411 or V412 database and move the database tables inside of IBM Content Managerrsquos Library Server database

Required information during installationTable 7-2 provides the information that you need while upgrading IBM Records Manager database The table includes the default value and sample value for each field with a brief description for each field when necessary

Table 7-2 Information required for upgrading IBM Records Manager database to V413

Upgrade Directory For IBM Records Manager 413 Database

CProgram FilesIBM DB2RecordsManager 413DBupgrade

Needed for the V413 database upgrade program code

Perform Custom or Automatic Upgrade

automatic automatic If use custom you have to manually upgrade the database

Database Type DB2 Same as in the v411 db

JDBC Driver Classpath

DB2 Java sub-directory of the DB2 program code

User Name irmadmin Schema owner user ID of the temporary V411 db

Sys Admin User Name

TNA Compliance no no TNA standard relatedImportant When selected you cannot change it back

Permission Mode ACL ACL Leave as default unless you know for sure Important When selected you cannot change it back

Copy Records Manager Database

YES Indicate to whether you want to use IBM Records Manager with IBM Content Manager

IBM Content Manager Library Server Database Type

db2 Database type of the IBM Content Manager Library Server database

IBM Content Manager Library Server Database Name

icmnlsdb Default is usually icmnlsdb

IBM Content Manager Library Server DB schema Name

icmadmin Default is usually icmadmin

IBM Content Manager Library Server DB User Name

IBM Content Manager Library Server Sys Admin Name

db2admin Default is usually db2admin

Data Export Directory

cexport Temporary directory to export DB data before re-importing Important Must exist

LOB Export Directory

clob Temporary directory to export database large object data before re-importingImportant Must exist

Important Before upgrading the databases we highly recommend that you perform a database backup of the old or the temporary IBM Records Manager V411 (or V412) database and of the existing Content Manager Library Server database

Make sure that there is a fallback plan in case the upgrade fails

An example of the command to backup the IBM Records Manager V411 database is as follows (assuming irm411 is the name of the database)

db2 backup db irm411

Detail installation stepsTo upgrade IBM Records Manager database perform the following detailed steps

2 Select Database Upgrade from the Launchpad Figure 7-3 shows the Launchpad with Database Upgrade selected

7 On the Install Upgrade Directory Selection window keep the default location or change to a directory of your choice Click Next

8 On the Database Update Type window select Automatic and click Next

9 On the Database Type window select DB2 and enter the location of the DB2 JDBC driver Usually this driver can be found on the Java directory of the DB2 installation directory Click Next

10On the Database Configuration window use the same names as you used in the database configuration of V411 as shown the Figure 7-2 on page 98

Figure 7-4 shows the IBM Records Manager V413 Database Configuration window

11In the Database Backup window select Selected database was backed up and click Next

12In the window Comply with The National Archive Standards window select Do not comply and click Next

We use the default installation choice here Decisions about compliancy with specific standards such as the British TNA or the American DoD have to made by Records Administrators and Legal Departments

13On the Permission Mode window select Continue using ACL permissions and click Next

14On the Copy Records Manager Database window select Yes and click Next

15On the Content Manager Library Server DB2 Database window enter the informations about the Content manager Library Server database so that IBM Records Manager database tables can upgrade to there

ndash Database Name This is the database name of the IBM Content Manager Library Server database Usually it is icmnlsdb

ndash Schema Name This is the schema name of the Content Manager Library Server database Usually it is icmadmin

ndash User Name and User Password This is the IBM Content Manager Library Server system admin user name and password Usually it is icmadmin

ndash Sys Admin User Name and System Admin User Password This is the user ID and password used to install DB2 Usually it is db2admin

Important After you make the selection here you cannot change it later This selection results in an irreversible change in the database structures

Important After you make the selection here you cannot change it Make sure this selection is correct for your environment

Figure 7-5 shows the Content Manager Library Server Database window

Figure 7-5 Content Manager Library Server database definition

16Click Next

17Create one file system directory for the database data to be migrated and one file system directory for the LOBs to be migrated as a temporary export location

18In the DB2 Database Copy Data Export window enter the locations of the previously created directories For our example we use ctempexportdata and ctemplob These directories will be used to store the data temporarily from the V413 database before it is imported into Content Manager Library Server Click Next

Figure 7-6 shows a sample of completed directories for the Database Copy Data Export window

Figure 7-6 Database copy data export

20Wait for the database to be exported and imported again On the Completed window click Finish

733 Installing IBM Records Manager V413 engine

We describe how to install the IBM Records Manager engine in this section We also describe how to install the Administration tool and the importexport utility

Note A machine that is intended to run IBM Records Manager engine must have the following software installed

WebSphere Application Server including messaging services Database client (matching the type of the IBM Records Manager database)

Required information during installationTable 7-3 provides the information that you need while installing IBM Records Manager engine The table includes the default value and sample value for each field with a brief description for each field when necessary

Table 7-3 Information required during IBM Records Manager engine installation

Information Default Sample value Description

Install Directory for IBM Records Manager 413 Engine

CProgram FilesIBM DB2RecordsManager 413

Required for the V413 program code

Installation Setup Type

typical typical Choose the default unless you want to do it differently

Deployment of WebSphere Application by Installer

I want the installer to do deployment and configuration

Change only if you want to do it manually

WebSphere Client Server Location

CProgram Files WebSphereAppServer

WebSphere install directory

WebSphere Server Cell

The systemrsquos host name See WebSphere Application Server administrative console

WebSphere Server Node

WebSphere Server Server

server1 See WebSphere Application Server administrative console

WebSphere Server Connection Type

SOAP SOAP Do not change unless your system is different

WebSphere Server Connection Port

8880 8880 Leave it as is unless your system setup is different

WebSphere Server Security Enabled

not selected not selected Unless you want to activate WebSphere security

WebSphere Server User Name

none Only enabled if security is enabled

WebSphere Server Soap Client Props

Connection Factory Authentication User

Detail installation steps

To install IBM Records Manager engine perform the following detailed steps

1 From the installation media for IBM Records Manager V413 start the Installation Launchpad

2 Select your preferred choice of language for the Launchpad

Mail Transport Host The systemrsquos host name The system that runs a SMTP server for notifications

SMTP User Name IBM Records Manager-server

User name used as sender of notification

Engine Server Name The systemrsquos host name Name of the IBM Records Manager server

Engine Server Port 2809 2809

Note Before you begin the installation ensure that WebSphere Application Server server1 is up and running

3 Select Engine Installation from the Launchpad Figure 7-7 shows the Launchpad with Engine Installation selected

8 On the Installation Directory Selection window keep the default location which is CProgram FilesIBMDB2RecordsManager413 or change to a directory of your choice Click Next

9 On the Chose the Setup Type window select Typical and click Next

10On the Application Deployment window select I want the Installer to do the deployment and configuration

You should only choose the alternative option I want to do the deployment myself if you know how to run application deployment for WebSphere Application Server manually Click Next

11In the WebSphere Location window enter the location of the WebSphere installation direction Usually it is cProgram FilesWebSphereAppserver Click Next

12In the WebSphere Application Server Connection Information window enter the values for the following fields

ndash Cellndash Nodendash Severndash Connector Type Use default SOAPndash Connector Port Usually it is 8880 We use the default It might varyndash WebSphere Security If you do not use WebSphere Security leave the

security fields clear and empty

Use the WebSphere Application Server Administrative Console to find these values Figure 7-8 shows an example

Figure 7-8 WebSphere Application Server admin console server1 selected

13Click Next

14If you do not use WebSphere Security leave all entries in the Connection facturies Authentication window empty Click Next

15In the Mail Session Configuration window enter an e-mail user who receives information mail from IBM Records Manager or use any e-mail type value such as abcom Click Next

Important Leaving this value empty is not a valid selection You must enter some value You can reconfigure these values later

16In the Import-Export Configuration window enter values for the following fields

ndash Engine Server Name This is the host name of the machine where you are installing the IBM Records Manager engine

ndash Engine Server ORB Port This is usually Usually 2809

Click Next

18Wait for the installation to be ready On the Completed window click Finish

734 Configuring IBM Records Manager engine

We describe the basic steps in configuring IBM Records Manager engine in this section

Required information during installationTable 7-4 provides the information that you need while configuring the IBM Records Manager engine The table includes the default value and sample value for each field with a brief description for each field when necessary

Table 7-4 Information required during IBM Records Manager engine configuration

Database Type DB2 IBM Records Manager database type

JDBC Driver Location

Location of the JDBC driver DB2 Java sub-directory of the DB2 install directory

Database Name icmnlsdb IBM Content Manager Library Server database name (alias)

Data Source Name IRMSource A name you choose to be used by IBM Content Manager Records Enabler and IBM Records Manager to reference the IBM Content Manager database

Schema Name icmadmin User ID of the IBM Content Manager Library Serverrsquos schema owner

User Name icmadmin IBM Content Manager Library Serverrsquos admin user ID

Detail installation stepsTo configure the IBM Records Manager engine perform the following detailed steps

1 Start the Engine Configuration Tool by selecting Start rarr Programs rarr IBM DB2 records Manager rarr Engine Configuration Tool

2 Select your preferred choice of language for the Engine Configuration Tool

3 In the Connection Information Window you see the values that you have used in step 12 on page 109 Click OK

4 In the Records Manager Engine Configuration window select DB2 as Data Source as shown in Figure 7-9

Figure 7-9 DB2 as data source

5 In the Actions Menu select Next

6 In the DB2 Universal JDBC Driver Location window find and select the JDBC driver location Usually this is the Java sub-directory of the DB2 installation directory which in a standard DB2 installation is CProgram FilesIBMSQLLIBjava Click Open

7 In the NEW DB2 Data Source definition window enter values for the following fields

ndash Data Source Name A name of your choice which is referred to by IBM Records Manager for mapping purposes instead of the real database name There is no default given

ndash Database Name IBM Content Manager Library Server database name usually icmnlsdb

ndash Schema Name Name of the DB2 Schema Owner of the IBM Content Manager Library Server database Usually it is icmadmin

ndash User Name and Password IBM Content Manager administratorrsquos user ID and password Usually it is icmadmin

Click OK

Figure 7-10 shows a sample of New DB2 Data Source definition window

Figure 7-10 New DB2 data source definition

8 In the File Menu select Save Changes

9 In the File Menu select Exit

10IBM Records Manager engine is a WebSphere application After changing of basic definitions it has to be restarted by restarting the related WebSphere Application Server sever

a Stop the WebSphere Application Server server1 using windows services panel

b Start the WebSphere Application Server server1 using windows services panel

74 Installing IBM Content Manager Records Enabler

In this section we describe the steps to install IBM Content Manager Records Enabler You must install this product if you are adding IBM Records Manager functionalities into an existing business application that uses IBM Content Manager as the content repository

Required information during installationTable 7-5 provides the information that you need while installing the IBM Content Manager Records Enabler The table includes the default value and sample value for each field with a brief description for each field when necessary

Table 7-5 Information required to install IBM Content Manager Records Enabler

Note A machine that is intended to run IBM Content Manager Records Enabler must have the following software installed or the following configuration set up

Database client (matching that of IBM Records Manager and IBM Content Manager Library Server database)

Information Integrator for Content

Accessible to IBM Content Manager eClient to render IBM Content Manager content from IBM Records Manager administrator client

IBM Content Manager Database Type

DB2 Database type of the existing IBM Content Manager Library Server

IBM Content Manager Records Enabler Features to be Installed

Records Enabler Server-Records Manager Host Interface

Select both unless you want to install them on separate systems

WebSphere Application Server Cell Name

The systemrsquos host name

See WebSphere Application Server administrative console

WebSphere Application Server Node Name

WebSphere Application Server Host Name

WebSphere Security Enabled

Not selected Not selected Do only select if you want to activate WebSphere security

IBM Records Manager Services Address

httpmachines hostname2089

Host name must match the host name of the IBM Records Manager enginersquos computer The port number is the ORB port in the IBM Records Manager engine

IBM Records Manager Admin Client URL

httpmachines histamineIRMClient

httpmachines hostnameIRMClient

Host name must match the host name of the IBM Records Manager enginersquos computer

IBM Records Manager Database

IRMSource Can be any name you want to use Not necessarily the real database name

IBM Records Manager Administration ID

Administrator Administrator Do not change unless you changed the IBM Records Manager admin user ID

IBM Content Manager Connection Server Name

icmnlsdb IBM Content Manager Library Server database name

IBM Content Manager Admin ID

icmadmin IBM Content Manager admin user ID

IBM Content Manager Records Enabler Connection ID

CMREID Must be an admin user of IBM Content Manager Library Server and an administrative Windows user but not icmadmin

eClient Rendering URL

http no change Change the used host name to the IBM Content Manager eClient installation host name Leave the remainder of the parameters

eClient Document List URL

http no change Change the used host name to the IBM Content Manager eClientrsquos installation host name Leave the remainder of the parameters

Detail installation stepsTo install IBM Content Manager Records Enabler perform the following detailed steps

1 As a Windows administrator create an administrative Windows user For our example we use CMREID Set it as a member of the DB2ADMNS group The IBM Content Manager Records Enabler installation does not create the necessary Windows user ID but makes it an IBM Content Manager administrative user during the installation if the user exists before the actual installation

2 From the installation media for IBM Content Manager Records Enabler V83 start the Installation Launchpad

3 Select Install from the Launchpad

4 In the Product Selection window of the Launchpad select DB2 Content manager Records Enabler and click Next

5 Click Next on the Welcome window of the Installation Wizard

IBM Content Manager Records Enabler Application Server Name

rmesvr cmresvr WebSphere server name to be used for IBM Content Manager Records Enabler

IBM Records Manager host Interface

CMREhost CMREhost WebSphere server name to be used for the IBM Records Manager host interface

Add Host Configuration Record to IBM Records Manager

selected selected Keep the default unless you want to repeat the definitions manually later and know how to

Important Before you modify databases we highly recommend that you perform a database backup of the existing Content Manager Library Server database Make sure there is a fallback plan in case upgrade fails

An example of the command to backup the IBM Records Manager V411 database is (assuming irm411 is the name of the database)

Also make sure that WebSphere Application Server server1 is up and running

7 Select DB2 in the DBMS type of Content Manager window

8 In the Database Backup window select Yes and click Next

9 In the Feature Selection window as shown in Figure 7-11 select both

ndash DB2 Content Manager Records Enablerndash DB2 Content Manager Records Manager Host Interface

Click Next

Figure 7-11 IBM Content Manager Records Enabler feature selection

10-In the WebSphere Application Server Deployment window enter the values for the following fields

ndash Cellndash Nodendash SeverUse the WebSphere Application Server Administrative Console to find these values Figure 7-8 on page 110 shows an example Click Next

11In the first Records Manager Information window enter the values for the following fields

ndash IBM Records Manager Web Services Address It is defined in step 16 on page 111 By default it usually is 2809

ndash IBM Records Manager Administrative Client URL Use the WebSphere Application Server Administrative Console to find this entry

Click Next

12In the second Records Manager Information window enter the values for the following fields

ndash IBM Records Manager Database Use the Data Source Name that you defined for the IBM Records Manager database in the IBM Records Manager engine configuration at step 7 on page 113

ndash DB2 Records Manager Administrator ID and Password Enter the internal IBM Records Manager Administrator User ID and its password

Click Next

13In the first IBM Content Manager V8 Server Connection window enter values for the following fields

ndash Server Name This is the Content Manager Library Server database name

ndash Content Manager Administrator User ID and Password Usually it is icmadmin for the ID

ndash DB2 Content Manager Records Enabler Connection ID Use the user ID that you have created in step 1 on page 116

ndash Password and Confirm Password Enter the password for the ID

Click Next

Note Terminology in this window is not consistent with usage

Tip After IBM Records Manager is installed the default administrator user ID is Administrator and its password is cronos For a production system we highly recommened that you change the password

Note The expression Connection ID does not conform with the terminology of the Content Manager Connection User ID such as ICMCONCT (by default) ICMCONCT can only be an operating system user with no more than connection rights to the database whereas the IBM Content Manager Records Enabler connection ID has to execute several administration functions

Figure 7-12 shows the first IBM Content Manager Server Connection window

Figure 7-12 IBM Content Manager Server Connection window

14In the second IBM Content Manager V8 Server Connection window enter values for the following fields

ndash eClient rendering content URLndash eClient document list URLs

Click Next

Note These URLs are used by IBM Records Manager to display IBM Content Manager content using the IBM Content Manager eClient

Tip The provided default URLs usually show the correct path values where eClient was installed So you can use the default definition Host name might have to be changed You can check whether the URL is valid by entering it in a browser window

15In the Deploy IBM Content Manager Records Enabler with WebSphere Application Server window enter a value for the following field

ndash WebSphere Server NameThis value is the name that is supplied to the IBM Content Manager Records Enabler cmreserver

Click Next

16In the IBM Content Manager Records Enabler Host Interface window enter a value for the following field

ndash WebSphere Server Name

This value is the server name that is supplied to the CMRecmrehost

17Select Add Host Configuration Record to DB2 Records Manager and click Next

19In the Installation Completed window leave the check box unmarked and click Finish

21Add the IBM Content Manager Records Enabler and the IBM Content Manager Records Enabler Host Interface servers as Windows services

a Start a Windows Command line

b Change directory to the WebSphere Application Server bin directory Usually it is cd cProgram FilesWebSphereAppserverbin

c Create the services using this command

wasservice -add ltservice namegt -servername ltcmresvr or cmrehostgt -userid ltadmin IDgt -password ltpasswordgt

For our example we use the following commands

wasservice -add CMRE server -servername cmresvr -userid administrator -password passwordwasservice -add CMRE hostinterface -servername cmrehost -userid administrator -password password

Note The details of the parameters that you use can vary depending on the WebSphere version that you use

75 Importing IBM Content Manager administration user ID to IBM Records Manager

In this section we describe the steps to import IBM Content Manager administrator user ID to IBM Records Manager

In general you import the IBM Content Manager users to IBM Records Manager if these users require to declare and classify records search and retrieve records In addition if you want any IBM Content Manager users to perform any IBM Records Manager related tasks you need to import these users as well

At this time the only user ID that must be imported is the IBM Content Manager administration user ID Usually it is icmadmin The user ID is used in the IBM Content Manager Records Enablerrsquos basic configuration

To import the IBM Content Manager administration user perform the following steps

1 Start IBM Records Manager administration client by selecting Start rarr Programs rarr DB2 Records Manager rarr Administration The IBM Records Manager Web Admin Client starts

2 Log on as IBM Records Manager Administration user by entering values for the following fields

ndash User ID and password This value is Administrator by default and its password is cronos by default

ndash IBM Reocrds Manager Database Name Use the Data Source name defined in step 7 on page 113

ndash Content Repository Leave this field empty

3 From the menu bar select Security

4 In the User panel select the IBM Content Manager Library Server database name This database name is usually icmnlsdb from the Host Filter drop-down list Then click Go

5 Viewing the user list click Import

6 In the pop-up window select the Content Manager administration user Usually it is icmadmin Click Import

Tip After IBM Records Manager is installed the default administrator user ID is Administrator and its password is cronos For a productive system we highly recommened that you change the password

7 In the user list select the IBM Content Manager administration user Click Edit

8 In the pop-up window scroll down to the check box named Is Active and select it Click Save

9 In the User List top right area click Logout

76 Configuring the relation between IBM Content Manager and IBM Records Manager

In this section we describe the steps to configure the relationship between IBM Content Manager and IBM Records Manager This tool is the same tool that you use later to define detailed mappings between IBM Content Managerrsquos item types and IBM Records Managerrsquos records including attribute mapping

761 Required information during the configuration

Table 7-6 provides the information that you need while configuring the relationship You collect and use most of this information during the previous installation and configuration steps

Table 7-6 Configuring information for IBM Content Manager and IBM Records Manager

IBM Content Manager Admin User ID

icmadmin IBM Content Manager Library Serverrsquos admin user

IBM Records Manager configuration panel

Server Host Name The systemrsquos host name Host name of the IBM Records Manager engine

Server URL The systemrsquos host name2809

IBM Records Manager engines host name and the previously defined ORB port

Server Database IRMSource Source name of the IBM Content Manager Library Servers as previously defined

Administrator Login Administrator Administrator IBM Records Managerrsquos internal Admin user ID

To configure the relation between IBM Content Manager and IBM Content Manager Records Enabler perform the following steps

1 Launch the Content Manager Records Enabler configuration client by selecting Start rarr Programs rarr DB2 Content Manager Records Enabler rarr First Steps The IBM Content Manager Records Enabler Web Configuration starts

2 Log on as an IBM Content Manager admin user which was imported to IBM Records Manager as described in 75 ldquoImporting IBM Content Manager administration user ID to IBM Records Managerrdquo on page 121 Usually it is icmadmin

3 In the IBM Records Manager Server Configuration window enter values for the following fields (They should already be entered Otherwise you have to enter them manually)

ndash Server Host Name The host name where the IBM Records Manager Engine is installed

ndash Server URL An http address to reach the IBM Records Manager engine This is build from a combination of the server host name plus the ORB port you have defined at step 16 on page 111 and at step 11 on page 117 (which is usually 2809) For our example myhostname2809

ndash Server Database This is the Data Source Name you defined at step 7 on page 113 and already used at step 12 on page 118 No other selection is available here

IBM Content Manager configuration panel

Server Name icmnlsdb IBM Content Manager Library Server DB name

CMREID IBM Content Manager Records Enabler connection ID as defined previously

eClient Rendering Content URL

http http Same as defined previouslyPrefilled value is usually OK

Note The term Server Database does not directly refer the database itself

ndash Administrator login and password Enter the (IBM Records Manager internal) Administrator User ID and password By default it is Administrator and cronos

4 In the IBM Content Manager Server Configuration window enter values for the following fields (They should already be entered Otherwise you have to enter it manually)

ndash Server Name The name of the IBM Content Manager Library Server database Usually it is icmnlsdb

ndash IBM Content Manager Records Enabler Connection ID This is the user ID you created in step 1 on page 116 Usually it is CMREID

ndash Password and Confirm Password Enter the password

ndash eClient Rendering Content URL and eClient Document List URL These URLs should be what you defined at step 14 on page 119 If you did not change anything at those steps keep the values as is

5 You have to complete the Manual Declare Email Filing Options and Auto Declare sections of the Records Enabler Configuration at a later stage according to your application setup

The Server URL Configurations should already be completed correctly

This completes the instructions for product and solution installation

Chapter 8 File plan creation

This chapter provides an overview of how to create a file plan using IBM Records Manager In addition it provides step-by-step instructions on how to create the file plan for the case study that we use in this book

Overview of a file plan

ndash File plan componentsndash Custom component definitions

Creating a file plan using IBM Records Manager

ndash Creating a file plan viewndash Defining file plan components (component definitions)ndash Defining component relationshipsndash Building the file plan

8

81 Overview of a file plan

A file plan is a structured subject-based filing schema that a records management system uses to support a retention schedule A file plan specifies how records are organized hierarchically in a records management environment

A file plan is similar to a collection of containers A container represents a holding place into which you place records that are related to a common subject theme or another container together File plans are also for defining records security and retention rules from the schedule against containers A file plan can support both the electronic and physical record-keeping of a company

811 File plan components

A file plan is comprised of components These components are instances of component type definitions

There are two file plan component definitions

System component definitions

System component definitions come with IBM Records Manager They are used to instantiate system components that are needed for a IBM Records Managerrsquos file plan All file plans come with a default system component definition Root It is at the start of your file plan where you define the rest of your file plan components

Custom component definitions

Custom component definitions are those that you define according to your business rules

Custom component definitionsThere are two types of custom component definitions

Container component

A container component is one of the containers for records or other containers For example Geographical Location and Legal Entity from Figure 8-2 on page 128 are container component definitions

Record component

A record component is the component type used for instances of a record It differs from the container component in that it has content such as the e-mail message and its attachments

82 Creating a file plan using IBM Records Manager

In this section we build our file plan based on the file plan design that we discussed in 24 ldquoFile plan planning and creationrdquo on page 29 Figure 8-1 illustrates this file plan

Figure 8-1 File plan tree

In our example of a file plan of a fictitious financial institution with global presence the file plan is broken down into different geographical locations legal entities record series sub-series folders and documents hierarchically

Figure 8-2 shows the file plan design of the scenario we use in this chapter A file plan always starts with a Root component In this example starting from the Root we organize records based on the file plan structure as described previously The ones in the circles are file plan components They include Geographical Location Legal Entity Series Sub Series Folder and Document The ones outside of the circles are actual file plan They are instances of file plan component definitions They include Americas AP EMEA Bank Insurance Client Communications and others They are also the components that make up the file plan tree in Figure 8-1

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

Chapter 8 File plan creation 127

Figure 8-2 File plan example

Creating a file plan includes following these steps

1 Creating a file plan view

2 Defining file plan components (component definitions)

3 Defining component relationships

4 Building the file plan

Root

GeographicalLocation

LegalEntity

Series

SubSeries

Document

Folder

For example Americas AP EMEA

For example Bank Insurance

For example Complaints BusinessCommunicationsResearch Reports

For example Client Communications

A file plan view is a collection of relationships between components that comprise the file plan A file plan views give each component in the file plan a context No file plan components can exist outside a view Every file plan component must be in at least one view

Within IBM Records Manager there can exist more than one view and components can exist in multiple views The view in this case is just a method of associating or grouping a collection of components together

To create the view for our example

1 Log on to the IBM Records Manager administrator client select the Administration tab and click File Plan Design as shown in Figure 8-3

Figure 8-3 IBM Records Manager administration pane

2 From the left menu click Views

3 Click Add from the right pane

4 In the View Name box enter the view name In our example we call it US Bank File Plan

5 In the View Type list box select Hierarchical as shown in Figure 8-4

Figure 8-4 Creating the view

6 Click Save

Editing a viewIf required you can also modify the name or type for an existing view You can edit a view using the following procedure

1 From the IBM Records Manager administrator client select the Administration tab and click File Plan Design

2 Click Views

3 Click the Edit icon for the view you want to edit

4 Edit the view

5 Click Close

Next you need to define the components You need to create the following components for the company view as shown in Figure 8-2 on page 128

Geographical location Legal entity Series Sub series Folder Document

By default IBM Records Manager includes system component definitions that represent business objects that IBM Records Manager uses These system component definitions are not file plan components in the file plan hierarchy but are required for the file plan to function Examples of system component definitions are life cycle codes user accounts and group accounts You cannot delete system component definitions but you can rename them

To create components for our example

1 From the IBM Records Manager administrator client select the Administration tab and select File Plan Design

2 Click Components from the menu on the left

3 Click Add from the right pane as shown in Figure 8-5

Figure 8-5 Creating file plan components

4 In the Component Definition Name box enter the Geographical Location

5 In the Component Definition Type list box select Component This is the main view

6 In the Primary View ID list box select US Bank File Plan

7 Click Save as shown in Figure 8-6

Figure 8-6 Define geographical location component

By default the Include In Life Cycle Eligible Calculations option is selected This option means that this file plan component can take part in life cycle eligibility calculations and can be eligible for transition regardless of its parent component If you clear this option this type of component cannot be returned in the result list of a life cycle query and cannot be transitioned on its own You want to clear this option for components that you do not want to dispose of such as those used for classification purposes When set you cannot change the setting of this option after IBM Records Manager creates the component definition (after you click Save)

8 Repeat steps 3 through 8 to add the remaining components for file plan as shown in Table 8-1

Table 8-1 Remaining components to be defined

Component Definition Name Component Definition Type Primary View ID

Legal Entity Component US Bank File Plan

Series Component US Bank File Plan

Sub Series Component US Bank File Plan

Folder Component US Bank File Plan

Document Record US Bank File Plan

When completed the components list looks similar to the example shown in Figure 8-7 In this illustration the columns are configured to sort by the Component Definition Type

Figure 8-7 Defining components - complete

After you create the views and define the file plan components you need to define the relationships between the components The first relationship that you create must have the Root as its source The Root is a predefined system level file plan component definition Figure 8-2 on page 128 shows examples of relationships

Tip You can add a numeric value before each component definition so that they are sorted in the sequence that you want

To define relationships for components

2 Click Views

3 Select US Bank File Plan from the list and from the Actions menu on top of the page select ViewRelationship Properties as shown in Figure 8-8

Figure 8-8 ViewRelationship Properties drop-down option

4 Click Go

Next define the relationships between the components that are added earlier These relationships define the structure (hierarchy) within the US Bank file plan

5 In the Relationship List section below click Add as shown in Figure 8-9

Figure 8-9 Click add to define component relationship

6 In the Relationship Definition Name box enter Root to Geographical Location as shown in Figure 8-10

Figure 8-10 Define component relationship between root to geographical location

7 In the Relationship Capacity box leave the default value 0 If you use the default 0 the source component can have this type of relationship with an unlimited number of other target component types If you specify another number for example 8 the component can share this relationship with only 8 other components (meaning only 8 geographical locations within the organization)

8 In the Source box select Root The top level of a file plan is called Root The Root file plan component definition is an object that you cannot edit or delete It represents the starting point for the first level in a source and target relationship definition You use the Root file plan component definition in hierarchical relationships (relationship types that belong to hierarchical views) Every hierarchical view must have the Root file plan definition as its root

9 In the Target box select Geographical Location For the Exclusive Relationship option do not select it

10Select the Supports Branch Deletes option When selected this option allows for the deletion of a component if its parent component is also deleted If a relationship between component A (source) and component B (target) is defined as supporting branch deletes if component A is deleted component B is also deleted (after confirmation by the user that they are aware that component A has children) If the relationship does not support branch deletes then when you attempt to delete component A you are notified that component A cannot be deleted because it has children In this scenario you must first delete all of children of component A and then delete component A itself

11Click Save

12Repeat steps 7 through 11 for creating each of the relationships as listed in Table 8-2

Table 8-2 Remaining relationships to be defined

Note In your file plan if you wanted to set the exclusive relationship option you must set this option when you create that relationship definition You are not able to create an exclusive relationship when existing components break the rules of the proposed exclusive relationship An exclusive relationship is one that is exclusive within its view The source file plan component of an exclusive relationship cannot participate in relationships other than a file after it is the parent of a file An exclusive relationship can exist only where there are several relationships that have the same source

Name Relationship Capacity Source Target

Geographical Location to Legal Entity

0 Geographical Location Legal Entity

Legal Entity to Series 0 Legal Entity Series

Series to Sub Series 0 Series Sub Series

Sub Series to Folder 0 Sub Series Folder

Folder to Document 0 Folder Document

Sub Series to Document

0 Sub Series Document

When completed you should have the relationship definitions as shown in Figure 8-11

Figure 8-11 Define relationship - complete

13Click Close

After you create the relationship definitions for your file plan you can make changes to these definitions if required If the changes that you make break any existing relationship definition rules (such as exclusivity) IBM Records Manager will not let you save this change

Editing a relationship definitionUse the following procedure to edit a relationship definition

1 Click File Plan Design and then click Views

2 Select US Bank File Plan from the list and click Edit

3 From the Relationship List select a relationship definition and click Edit

4 Make your changes

5 Click Save

6 Click Close

Next you can build the file plan by adding the detailed structure as shown in of US Bank File Plan to the containers (component definitions) that you created earlier Figure 8-12 shows the file plan components for each component definition (The figure depicts only the relevant sections in our example)

Figure 8-12 Sample file plan tree

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

When you build a file plan you add instances of the file plan component definitions that you defined previously In IBM Records Manager terminology we refer these instances as file plan components For example if you add instances of the Geographical Location Legal Entity and Series definitions that you created earlier the file plan components that you add to the file plan inherit the attributes of the component definitions that you defined After you build the file plan you can navigate through its hierarchies and add edit or delete any file plan component

Note Before adding the components that make up the file plan make sure that you have the appropriate permissions to add file plan components In our case we log in as the Administrator

Adding a file plan componentFollow these steps to add a file plan component

1 From the IBM Records Manager administrator client select the Browse tab and click US Bank File Plan as shown in Figure 8-13

Figure 8-13 Browse to file plan

3 In the Geographical Location Name box enter Americas as shown in Figure 8-14

Figure 8-14 Defining Americas geographical location

4 Enter a meaningful code under Geographical Location Code In our example we use AM to stand for Americas

5 Enter a meaningful description under Geographical Location title for example North America and South America

6 Click OK

7 Repeat steps 2 through 6 for the following geographical locations Asia Pacific and EMEA with information that is provided in Table 8-3

Table 8-3 Remaining geographical locations to be created

Adding additional file components Legal entitiesWe want to add legal entities to the US Bank file plan For the purpose of demonstration we only add the legal entities under the Americas geographical location

To add legal entities

1 In the File Plan Component Name column click Americas

2 Click Add

3 In the Legal Entity Name box enter Bank

4 Enter a meaningful code under Legal Entity Code In our example we use BK for Bank

5 Enter a meaningful description under legal entity title

6 Click OK

7 Repeat steps 1through 6 for legal entity Insurance In our example we use INS for Legal Entity Code and Insurance Legal Entity for Legal Entity Title

Adding additional file components SeriesNext we want to add Series to the US Bank file plan For the purpose of demonstration we only add the components under Bank

To add Series

1 In the File Plan Component Name column click Bank

2 Click Add

3 In the Bank Name box enter Employee Data Enter a meaningful description under Series title

4 Enter a meaningful description under Series code In our example we use ED for Employee Data

5 Click OK

Geographical Location Name Geographical Location Code Geographical Location Title

Asia Pacific AP Asia Pacific

EMEA EMEA Europe the Middle East and Africa

6 Repeat steps 1 through 5 for the Series Corporate Records and Client Communications using the information provided in Table 8-4

Table 8-4 Remaining series to be defined

825 Adding additional file components Sub Series

Next we want to add Sub Series to the US Bank File Plan Follow these steps

1 In the File Plan Component Name column click Client Communications

2 Click Add

3 In the Sub Series Name box enter Complaints Enter a meaningful description under Series title

4 Enter a meaningful description under Series code In our example we use CC to stand for Client Communications

5 Click OK

6 Repeat steps 1 through 5 for the Sub Series Business Communications and Research Reports using information in Table 8-5

Table 8-5 Remaining sub series to be defined

Series Name Series Code Series Title

Corporate Records CR Audit reports and working papers SAS 70 EEO and other reemployment reports

Client Communications ED Monitoring and reporting on all employee related activity and activity of associated persons such as Employee Files Fingerprinting Compensation Salary Benefits Registration amp Licensing

Sub Series Name Sub Series Code Sub Series Title

Business Communications BC All communications including Communications detailing recommendations or advice receiptdisbursement or delivery of fundssecurities or placing or execution of orders

Research Reports RR Objective performance analysis of companies and industries

When you complete the window should look similar to Figure 8-15

Figure 8-15 Defining sub series - complete

This completes the instructions for creating a file plan

Chapter 9 Retention schedule creation

This chapter provides an overview as well as step-by-step instructions of how to create a retention schedule using IBM Records Manager

Overview of a retention schedule

ndash Life cycle and life cycle code

Applying retention rules to file plan components

ndash Creating a life cycle phasendash Creating a life cycle codendash Defining life cycle dates

9

91 Overview of a retention schedule

A retention schedule is a timetable that specifies the length of time a record must be retained before final destruction

The retention schedule can be driven by the following requirements

Business requirements which could include audit companyrsquos retention policy legal counsel opinion or business continuity reasons

To determine the retention period of a record stakeholders from legal counsel compliance officers and business users need to be involved because the requirements vary from industry to industry compliance and legal jurisdiction as well as document types The retention schedule is updated continually as business and regulatory needs evolve

911 Life cycle and life cycle code

With IBM Records Manager a retention schedule is represented by life cycle and life cycle codes

A life cycle is a collection of one or more phases through which records in a file plan component must transition before they are disposed Life cycles can be extremely short in duration (as little as zero days) or they can last forever Each phase in a life cycle can last a certain duration and denoting a specific records management activity that must be performed at the beginning or end of the phase After you specify a life cycle it becomes the basic foundation for all life cycle rules that your company adopts

A life cycle code is a life cycle rule that you apply to a file plan component A life cycle code determines how records in the file plan component commence their life cycle how long records remain in each phase of their life cycle whether the phase also marks the cut off and closure of the records and how to dispose of records at the end of their life cycle

A life cycle can be driven by time event or event time Event time means that when a specified time has taken place after a particular event has happened a record has to move out of the current phase and into the next phase The time does not start calculating until the particular event has taken place For example an event can be closing of a client account or termination of an employee A rule might say three years after the termination of an employee the employee record

can be deleted This rule is event time driven The time does not start counting until the employee is terminated

92 Creating a retention schedule

The following steps summarize what you have to do to create a retention schedule (or in other words life cycle codes)

1 Create life cycle phases

2 Create life cycle codes

3 Define life cycle rules dates and other information for life cycle codes

4 Apply life cycle codes to file plan components

To continue our scenario from Chapter 8 ldquoFile plan creationrdquo on page 125 creating a retention schedule for our example includes the following steps

1 Create a life cycle phase

2 Create a life cycle code for Employee Data

3 Create a life cycle code for Client Communications

4 Define life cycle rule for Employee Data Life Cycle Code

5 Define life cycle dates for Employee Data at the Series Sub Series Folder and Document levels

6 Define life cycle rule for Client Communications life cycle code

7 Define life cycle dates for Client Communications at the Series Sub Series Folder and Document levels

8 Apply life cycle code to Series

921 Creating a life cycle phase

In this section we explain how to create a life cycle phase by showing you the steps to create the life cycle phase for out case study

Active Retention Period

To create the life cycle phase follow these steps

1 From IBM Records Manager administrator client select the Administration tab and click Life Cycle Administration

2 Click Life Cycle Phases

3 Click Add

Chapter 9 Retention schedule creation 149

4 Enter Life Cycle Phase Name For our example we call it Active Retention Period as shown in Figure 9-1

5 Enter 1 under Life Cycle Phase Order Number to specify which life cycle phase it is Specifying 3 sets the life cycle phase to the third phase in a life cycle

6 Click Save

Figure 9-1 Defining life cycle phase

922 Creating a life cycle code

In this section we explain how to create a life cycle code by showing you the steps to create the following two life cycle codes for our case study

Retention Rule for Employee Data (Termination Date + 3 Years) Retention Rule for Client Communication (5 Years)

We also assign the previously created life cycle phase Active Retention Period to these life cycle codes

Note The Life Cycle Phase Order Number must be unique for this phase You can create as many phases as you require for your life cycle

Follow these steps to create the life cycle codes

1 From the IBM Records Manager administrator client select the Administration tab and click Life Cycle Administration

2 Select Life Cycle Codes

3 Click Add as shown in Figure 9-2

Figure 9-2 Creating life cycle code

4 Under the properties section in the Life Cycle Code Name field enter a name for the new life cycle code The name must be unique In our example we use Retention Rule for Employee Data (Termination Date + 3 Years)

5 In the Disposal Type field select the disposal type that you want to dispose of a component when it completes the last phase of its life cycle In our example we select Destroy from the list box

6 Under the Phase List section select Active Retention Period and click Edit

7 Change the Life Cycle Period Unit to Year for our example

8 Enter 3 under Life Cycle Period Length

9 Click Save Figure 9-3 shows the window for our example

Figure 9-3 Defining retention period

10Click Save again in the properties page

Note You assign life cycle code to a file plan component A life cycle code determines how records in the file plan component commence their life cycle

The following information explains the fields or special wording that you deal with when defining a life cycle code

Time How much time the records in this file plan component spend in any one phase of its life cycle

Security Whether the security of the records in this file plan component change as records transitions from one phase to another in their life cycle

Disposal How to dispose of records in this file plan component when they complete the last phase of their life cycle

Cutoff Whether records in this file plan component are cut off when they enter a phase in their life cycle Cutoff is the termination of files at regular intervals to permit their transfer retirement or disposal in completed blocks Under this process records are terminated regularly at the end of a specified period of time or event When you select the cutoff flag the phase transition occurs only on a cut-off boundary date

Close Whether records in this file plan component is closed when they enter a phase in their life cycle

Interim transfer Whether records in this file plan component undergo interim transfers when they enter a phase in their life cycle

Begin Life Cycle When Superseded Sets records in the file plan component to begin their life cycle when replaced by newer versions

11Repeat steps 3 to 10 for the retention rule (life cycle code) specified in Table 9-1 and as shown in Figure 9-4

Table 9-1 Attributes for retention rule for Client Communications (5 years)

Figure 9-4 Defining life cycle code for client communications

Field Value to be entered

Life Cycle Code Name Retention Rule for Client Communications (5 years)

Disposal Type Destroy

Life Cycle Period Unit Year

Life Cycle Period Length 5

923 Defining life cycle dates

From previous sections we showed you how to create the following life cycle phase and codes

Life cycle phasendash Active Retention Period

Life cycle codesndash Retention Rule for Employee Data (Termination Date + 3 Years)ndash Retention Rule for Client Communication (5 Years)

In this section we explain how to create life cycle dates that are used for the life cycle codes

Creating life cycle dates for the Employee Data life cycle codeTo create life cycle dates for different file plan components under Employee Data life cycle code follow these steps

1 From IBM Records Manager administrator client select the Administration tab and click Life Cycle Codes

2 Select Retention Rule for Employee Data (Termination Date + 3 Years) and click Edit

3 Under the Properties section click Life Cycles Dates

4 Select Series and click Add as shown in Figure 9-5

Figure 9-5 Selecting Series and click Add

5 Select Series Close Date and click Save as shown in Figure 9-6

Figure 9-6 Selecting Series Close Date

6 Click Close

7 Repeat steps 3 to 6 for Sub Series Folder and Documents

8 When you are done the panel should look similar to Figure 9-7

Figure 9-7 Life cycle code for employee data

9 Click Close

10Click Save again

Creating life cycle dates for Client Communication life cycle codeTo create life cycle dates for different file plan components under Client Communication life cycle code follow these steps

1 Select Retention Rule for Client Communications (5 years) and click Edit

2 Click Life Cycle Dates as shown in Figure 9-8

Figure 9-8 Life cycle for employee data

Figure 9-9 Defining life cycle dates for series

4 Select Series Creation Date and click Save as shown in Figure 9-10

Figure 9-10 Selecting series creation date

5 Click Close

6 Repeat steps 2 to 5 for Sub Series Folder and Document

Figure 9-11 Completing life cycle dates

Figure 9-12 Saving the life cycle dates

Figure 9-13 Defining life cycle code - complete

93 Applying retention rules to file plan components

Now we are ready to assign the retention rules (life cycle codes) that are set up for the two example record series to the file plan Follow these steps

1 From IBM Records Manager administrator client select the Browse tab and navigate through the tree structure on the left side panel until you get down to Client Communications

2 Select Client Communications and click Edit as shown in Figure 9-14

Figure 9-14 Linking retention rule to client communications

3 Clear the inherited box under Life Cycle Code

4 Under Life Cycle Code list box select Retention Rule for Client Communications (5 Years) as shown in Figure 9-15

Figure 9-15 Selecting Retention Rule

5 Click Save

6 Repeat steps 1 to 5 for the other life cycle code Retention Rule for Employee Data (Termination + 3 Years)

7 Click Save

This completes the instructions for creating a retention schedule

Chapter 10 Profiles and custom attributes

This chapter introduces profiles and custom attributes Profiles enable you to restrict the fields that users can see and edit in a file plan component They simplify user interface and enforce security Custom attributes allow you to specify different types of information and associates them to records

Profiles

ndash Creating a profile

Custom attributes

ndash Creating a custom attributendash Configuring column display and populate data

10

101 Profiles

In IBM Records Manager a profile is a data entry form Profiles are what records administrators see when they add or edit an item (such as a file plan component) in IBM Records Manager A profile includes one or more of the fields (attributes) that comprise the itemrsquos definition You can create numerous profiles for almost any type of file plan component or non-file plan component including file plan components such as files folders and documents and system components such as users and groups After you create a profile you assign it to specific users and groups or assign it to the Public group for the profile to be used

Profiles allow administrators to restrict user access to certain fields as well as limit the actions records administrators or other users can perform on the fields that are included in the profile When you create a profile you select the fields that you want to present to intended users This lets you control what a user can do in these fields (for example you can make fields read-only or mandatory)

You can create an unlimited number of profiles for a file plan component definition You must have the Profile Design function access right to create edit and assign profiles to users and groups

When creating a profile you can change the properties of the fields in the profile Examples of properties that you can specify are the caption of the field the control type whether the field is mandatory or not and whether the field is read-only You cannot change mandatory system fields to non-mandatory or read-only but you can make the non-mandatory fields (or custom fields) mandatory or read-only

All non-mandatory system and custom fields have mandatory and read-only check boxes available in their properties The Name field on the profile field properties is read-only (you cannot change the attribute name) You can change the caption The changed caption will apply only to that profile and not to the caption assigned during the attribute creation time

Tip In a production environment we recommend creating at least two profiles per file plan component one is for administrator usage which should contain all the fields another is a common profile that is designed for normal users usage The common profile should contain only the fields normal users should see or edit You can exclude fields that normal users cannot edit or that normal users need not to be concerned

1011 Creating a profile

In this section we explain how to create a profile by showing you the steps to create the following profile for our case study

Common Fields for Series

To create the profile follow these steps

1 From IBM Records Manager administrator client select the Administration tab and click File Plan Design

2 Click Profiles as shown in Figure 10-1

Figure 10-1 Create a profile

3 Click Add on the right pane

Chapter 10 Profiles and custom attributes 169

4 In the Component Definition box select the component definition for the new profile as in Figure 10-2

Figure 10-2 Select fields for custom profile

5 Click OK

6 In the Name box enter a name for the profile The name can be any alphanumeric string of up to 200 characters In our example we use Common Fields for Series

7 In the Caption box type the profile caption that you want to appear in the user interface as the form title for all forms where the profile was applied It can be an alphanumeric string of up to 30 characters and it can include spaces

8 In the All Fields list select the fields you want to include in the profile Select one or more fields and then click the right arrow to place them in the Selected Fields list

9 After the fields are in the Selected Fields list you can change their order of appearance by highlighting the field and then clicking Up to move the field up the list or by clicking Down to move the field down the list

10To edit the properties of the fields in the Selected list click the field name to highlight it and then click Properties Verify your changes and then click OK

11Click Save

1012 Assigning a profile

After creating a profile you must assign it to users or groups If you assign more than one profile for the same file plan component definition to a user that user can then have a choice of which profile to use (from a profile list) when the user adds or edits file plan components The same rule applies when you assign more than one profile to a group

To assign a profile to a user follow these steps

2 Click Profiles

3 Select a profile from the list In our example we select Common Fields for Series and click Assign to Users as shown in Figure 10-3

Figure 10-3 Assign profile to user

4 In the Host Filter field select the host filter you want to use The host filter lets you select and display all the users that belong to a specific host

5 Click Add or Remove Users to update the Active Members list The members in this list will be assigned the selected profile In our example we click Add to add Administrator

6 Click Close

102 Custom attributes

Custom attributes allow you to specify different types of information that you can associate to records Custom attributes appear as additional fields to users They are useful if you want to store additional information for records For example if you want to add citation information a retention rule you can create a custom attribute to store the information

1021 Creating a custom attribute

In this section we explain how to create a custom attribute by showing you the steps to create the custom attribute for our case study

Citation and Time

To create the custom attribute follow these steps

2 Click Components as shown in Figure 10-4

Figure 10-4 Adding a custom attribute

3 Select Life Cycle Code on the right pane and click the Edit icon

4 Scroll down to Attributes List click Add

5 Fill in Attribute Column Name as Citation and Time as shown in Figure 10-5

Figure 10-5 Name the custom attribute

6 Enter the Attribute Caption as Citation and time

7 Change Attribute Data Type to String

8 Define Data Type Maximum Length as 200

9 Click Save

10Click Close

1022 Configuring column display and populate data

Now we are ready to populate the Citation and time for the two example record series that we created We first configure Components column to include the new custom attribute then we populate the data and view them in the Component view

Follow these steps

1 From the IBM Records Manager administrator client select the Administration tab and select Life Cycle Administration

2 Click Life Cycle Codes

3 Click Configure Columns as shown in Figure 10-7

Figure 10-6 Configure columns for life cycle codes view

Tip These instructions show you how to associate citation rules with life cycle codes (retention rules) It is useful to set this up so that at any time you can see the associations of citations rules with the life cycle codes (retention rules)

4 Select Life Cycle Code Name and Citation and time as shown in Figure 10-7

Figure 10-7 Select custom columns to show

5 Click Save

6 Select Retention Rule for Client Communications (5 Years) and click Edit as shown in Figure 10-8

Figure 10-8 Select Retention rule to add citation

7 Enter Citation and time for this Record Series For our example we enter 17cfr275204-2(e)(3) 5yrs Click Save

9 Enter Citation and time for this Records Series For our example we enter 7cfr24017a-3(a)(12)(i) employment +3yrs 17cfr24017a-3(a)(19)(i) 3yrs Click Save

10When you complete the panel should looks similar to Figure 10-9

Figure 10-9 Custom attribute for citation and time

This completes the instructions for creating profile and custom attributes

Chapter 11 Declaration and classification configuration

Record declaration and classification setup are different for different business applications In this chapter we select IBM Document Manager and show you how you can set up an IBM Document Manager system to enable declaration of records manually and automatically We also cover records declaration in IBM Records Manager

Preparationndash IBM Document Manager configurationndash IBM Records Manager configurationndash IBM Content Manager Records Enabler configuration

Configuring auto declaration and classification rulesndash Configuring auto declaration and classification in IBM Content Manager

Records Enablerndash Configuring auto declaration and classification in IBM Document Managerndash Testing auto declaration and classification

Configuring semi-auto declaration and classification rulesndash Solution 1 IBM Document Manager quick declaration and classificationndash Solution 2 IBM Document Manager manual declaration and IBM Records

Manager auto classification tool Declaring records in IBM Records Manager

11

111 Preparation

To prepare to set up an IBM Document Manager system to perform record declaration and classification (either manually or automatically) you have to perform the following configurations

IBM Document Manager configuration

This is where you specify the type of documents that can be declared as records in IBM Document Manager As part of the configuration you set up the item types that can be declared as records their associated classes and life cycle state to support declaration and classification

IBM Records Manager configuration

This is where you set up file plan and retention schedule so that you can classify records into IBM Records Manager and have it manage and control the records

IBM Content Manager Records Enabler configuration

IBM Content Manager Records Enabler is the connector that connects IBM Content Manager with IBM Records Manager Because IBM Document Manager uses IBM Content Manager as the backend content repository you require to set up IBM Content Manager Records Enabler to add records management functionalities into IBM Document Manager systems As part of the configuration you eRecord-enable the item types that can be declared as records in Content Manager Records Enabler Note these item types are Content Manager item types which are same as the item types you declare in IBM Document Manager

We use our case study to demonstrate what you need to do For explanation of records declaration and classification refer to Chapter 3 ldquoDeclaration and classificationrdquo on page 33

1111 IBM Document Manager configuration

Configuring IBM Document Manager includes setting up of the item types that can be declared as records and setting up their associated classes and life cycle that are used in IBM Document Manager This section shows the data model we set up in IBM Document Manager for our case study We do not include the steps to set up the data model For instructions on setting up the data model for IBM Document Manager refer to the product manuals

AttributesFor our case study we define a list of attributes (also known as Library properties) as listed in Table 11-1

Table 11-1 Attribute list

Item typesFor our case study we define the item type as shown in Table 11-2

Table 11-2 Item type list

Name Display Name Attribute Type Character Type CharacterLength

SerialNo SerialNo Variable Character

Extended alphanumeric

16

Name Name Variable Character

32

Age Age Short

Gender Gender Variable Character

16

Nationality Nationality Variable Character

16

Department Department Variable Character

16

Note Because IBM Document Manager configuration and document content are stored in IBM Content Manager these defined item types are IBM Content Managerrsquos item types This concept is an important concept to understand and remember because records enabling of the IBM Document Manager system is accomplished through IBM Content Manager in the background and not through IBM Document Manager directly

Item Type Description

Employee Employee Data

Document Corporate Document

Chapter 11 Declaration and classification configuration 181

ClassesFor our case study we define Employee and Document classes as shown in Table 11-3 and Table 11-4 respectively

Table 11-3 Employee class list

Table 11-4 Document class list

Report class life cycle state and mapFor our case study we define four life cycle states for the Report class as shown in Table 11-5

Table 11-5 Report class life cycle state list

Class Name Description

Manager Manager Data

Staff Staff Data

Report Research reports from Client

Graphic Graphics for researching

State Name Description

Draft Report draft

Review Report for reviewing

Approved Report for approving

Archive Report approved need to be archived

We define the associated life cycle state map as shown in Figure 11-1

Figure 11-1 Report class life cycle state map

1112 IBM Records Manager configuration

Configuring IBM Records Manager includes setting up of file plan and retention schedule that are to be used to classify manage and control records

For our case study we use the file plan definition that is defined in Chapter 2 ldquoRetention schedule and a file planrdquo on page 21 We show you how to create them in Chapter 8 ldquoFile plan creationrdquo on page 125 and Chapter 9 ldquoRetention schedule creationrdquo on page 147 Refer to these chapters for detailed l set up instructions

1113 IBM Content Manager Records Enabler configuration

Configuring IBM Content Manager Records Enabler includes records enabling the item types that are defined in IBM Document Manager (which are stored in IBM Content Manager)

To enable the item type follow these steps

1 Open IBM Content Manager Records Enabler administrator client with proper URL For example

httphostltportgtRMEConfigWeblogondo

2 Enter the user ID and password and click Login

3 Select eRecord enable Item Type on the left panel

Figure 11-2 shows the IBM Content Manager Records Enabler eRecord enable item type configuration page

Figure 11-2 Item type enable configuration

4 Select the check box on the left of the item type you want to enable For our example we select Employee as the item type

5 Select the record type for each item type For our example we select Document as the record type

6 Click Enable

112 Configuring auto declaration and classification rules

This section describes how to configure auto declaration and classification rules In IBM Content Manager Records Enabler you have to configure auto declaration and classification which include specifying the class path the record type and the polling interval (how often the system is to check whether documents rare required to be declared and classified) In IBM Document Manager you have to configure the appropriate state so that it uses class settings when declaring a record This state is the state into which when a document is transitioned the document is declared and classified as a record automatically After configuring the state you also have to set the associated class to use auto records management settings

1121 Configuring auto declaration and classification in IBM Content Manager Records Enabler

There are two steps involved in IBM Content Manager Records Enabler configuration for auto declaration and classification

1 Set up the auto declaration and classification rules

2 Set up attribute mapping

IBM Content Manager Records Enabler auto declaration and classification rules setupUsing IBM Content Manager Records Enabler administrator client you can set up the IBM Content Manager Records Enabler auto declaration and classification configuration Using our case study as demonstration perform the following steps

1 Open IBM Content Manager Records Enabler administrator client with the correct URL For example

3 Select Auto Declare and Classify Configuration on the left panel

Figure 11-3 shows the IBM Content Manager Records Enabler Auto Declare and Classify Configuration page

Figure 11-3 IBM Content Manager Records Enabler Auto Declare and Classify Configuration

4 Enter the Default classification which is the default classification for records when performing auto-classification For our example we enter

US Bank File PlanAmericasBankClient CommunicationsResearch Reports

Figure 11-4 File plan path position

5 Select the default record type For our example we select Document

6 Enter the polling interval value in seconds For our example we enter 10

7 Click Save

IBM Content Manager Records Enabler attribute mappingTo perform auto classification there must be a data mapping between IBM Content Manager data and IBM Records Manager data IBM Content Manager stores the content and metadata of the documents that are to be declared as

Note You can copy this file plan path from IBM Records Manager administrator client (Figure 11-4 shows the place where you can find the file plan path) Pay attention to the string that you copy because there are some question marks in this string that you have to remove An easy way to do this is to copy the string to a notepad delete the question marks and then copy the path string to the IBM Content Manager Records Enabler Default classification field

records IBM Records Manager stores a set of records-related metadata about the records in the system When IBM Content Managerrsquos metadata are mapped to IBM Records Managerrsquos records metadata then at the declaration time information that is already stored in IBM Content Manager can be stored to IBM Records Managerrsquos records metadata fields automatically

Using our case study as demonstration perform attribute mapping in IBM Content Manager Records Enabler with the following steps

1 From IBM Content Manager Records Enabler administrator client select Attribute Mapping

2 Select the Record type For our example we select Document

3 Click Add mapping Figure 11-5 shows the Attribute Mapping page

Figure 11-5 IBM Content Manager Records Enabler attribute mapping

4 Select the attribute from the IBM Content manager attribute list and click Select

5 Select attribute from IBM Records Manager attribute list and click Map

Repeat these steps to add more attribute mappings For our case study we create two mappings as shown in Table 11-6

Table 11-6 Attribute mapping for our case study

1122 Configuring auto declaration and classification in IBM Document Manager

This section shows you how to configure IBM Document Manager for auto declaration and classification during a state transition At the life cycle state where you want to have automatic records declaration and classification to happen modify it to use class settings that declare records In addition modify the associated class to use Auto for records management setting

IBM Content Manager attribute IBM Records Manager attribute

Document Name Document Name

DM Class Document Title

Life cycle state configurationUsing our case study as a demonstration configure Archive state for auto declaration and classification with these steps

1 Open the IBM Document Manager designer and navigate to the appropriate state For our example we navigate to the Archive state Figure 11-6 shows the IBM Document Manager designer

Figure 11-6 IBM Document Manager designer

2 Right-click the state select Modify from the context-sensitive menu

3 Select the Library Tab

4 Select Declare Item of Record and select Use Class Settings These selections mean that we use the Report class setting to declare and classify the record Note the Archive state is one of the states that Report class has For our case study when documents enter this state we want to perform automatic records declaration and classification Figure 11-7 shows the Modify State Configuration dialog box

Figure 11-7 Modify State Configuration dialog box

Class configurationTo enable auto declaration and classification you also have to set the appropriate class to use auto records management setting Using our case study as demonstration perform these steps

1 Open the IBM Document Manager designer and navigate to the appropriate class For our example we navigate to the Report class

Figure 11-8 shows the IBM Document Manager designer

2 Right-click the class select Modify from the menu

3 Select the Record Management Tab and select Auto

1123 Testing auto declaration and classification

After IBM Content Manager Records Enabler and IBM Document Manager are set up as described in the previous sections you are ready to test auto declaration and classification For our case study we test the auto declaration and classification as follows

1 Open the IBM Document Manager desktop and log in

2 Click Add Item A dialog box opens as shown in Figure 11-9

Figure 11-9 Add item dialog box

Note Before you begin the implementation process check that the following services are running

IBM Content Manager Resource Manager server - IBM Content Manager Resource Manager

IBM Document Manager Cache services IBM Document Manager Life Cycle services

3 Select the Class and Type fields For our example we select Report in the Class field and Document in the Type field Click Next

4 Select the report file and click Open

5 Enter the required fields For our example we enter CorpReport for the Document Name Click Apply to create a document of Document type and Report class in the system

6 Click Search

7 On the Document Search dialog box search for the document that you just created For our example we select Contains as the filter and enter CorpReport in the Document Name field Click Search

8 Select the document that you just created and click Transition

9 Repeat step 8 until the document gets to the state where the system auto declares and classifies it as a record For our example we click twice to transition this document to the Archive state

After transitioning the document to the Archive state the document is declared automatically by the system within a specified time frame The time is decided by polling interval value in IBM Content Manager Records Enabler automatic declaration configuration that we set up in ldquoIBM Content Manager Records Enabler auto declaration and classification rules setuprdquo on page 185 When this is done the IsRecord attribute of this item is changed to yes after refreshed in IBM Document Manager desktop client

Tip For our case study we can select Approve or Draft at the second time transition After you choose Approve the life cycle goes on to the Archive state The auto declaration and classification starts on this document after it reaches the Archive state

Figure 11-10 shows the automatically declared document

Figure 11-10 Automatically declared record

113 Configuring semi-auto declaration and classification rules

This section describes how to configure semi-auto declaration and classification rules We discuss two solutions

Solution 1 IBM Document Manager quick declaration and classification

Solution 2 IBM Document Manager manual declaration and IBM Records Manager auto classification tool

1131 Solution 1 IBM Document Manager quick declaration and classification

This solution involves using IBM Document Managerrsquos quick declaration function to perform semi-auto declaration and classification

Configuring IBM Document Manager for semi-auto declaration and classificationTo configure IBM Document Manager to use semi-auto declaration and classification we use our case study as demonstration Perform the following steps

1 Open the IBM Document Manager designer and navigate to the appropriate class For our example we navigate to the Staff class

Figure 11-11 shows the IBM Document Manager designer and the Staff class

2 Right-click the Staff class and select Modify

3 Select the Record Management Tab

4 For the Quick Declare Desktop Classification field select Selection

5 Click Classifications Figure 11-12 shows the Modify - Class Configuration dialog box

Figure 11-12 Modify - Class Configuration dialog box

6 On Record Management Selection List dialog box click Add on the bottom A dialog box with Record Management Classification list opens

7 Select the file plan path For our example for our US Bank example we select File Plan rarr Americas rarr Bank rarr Employee Data rarr Staff

8 Select Document as the record type

9 Click Apply

10Click Cancel to close this dialog box A new item now appears in the record management classification list as shown in Figure 11-13

Figure 11-13 IBM Record Management Selection List dialog box

11Click OK to close the Record Management Selection List dialog box

12Click OK to close the Class Modify dialog box

Using IBM Document Manager quick declaration and classificationAfter setting up in IBM Document Manager for quick declaration and classification you can use the IBM Document Manager desktop client to test and check how semi-auto declaration and classification works

Using our case study as demonstration follow these steps

1 Launch the IBM Document Manager desktop and log in

2 Click Add Item A dialog box as shown in Figure 11-14 opens

Figure 11-14 Add Item dialog box

3 Select the document class and type for the new item For our example we select Staff for class and Document as type Click Next

4 Enter the appropriate information for the new item For our example we select the staff photo and then click Open Enter information for the Name SerialNo Department Age Nationality and Gender fields as shown in Figure 11-15 Click Apply

Figure 11-15 Add Employee dialog box

5 When you add a new item to IBM Document Manager use Power Search to find the new item For our case study we perform the following steps

a Select Power Search from the top menu

b Select Name from the property drop-down menu In the Filter field select = (Equals) In the Value field enter Dennis

c Click Add See Figure 11-16

d Click Search The staff document that you just imported displays

Figure 11-16 Power Search dialog box

6 After finding the document use Quick Declare to declare this document as a record For our example we perform the following steps

a Select this Staff document that you found in the previous step

b Click Quick Declare See Figure 11-17

c Click Declare

Figure 11-17 Quick Declare dialog box

7 When the record declaration is done click Refresh

After the IBM Document Manager desktop client is refreshed noticed the documentrsquos attribute IsRecord is changed to yes This means the document has been declared as a record

Figure 11-18 shows the document that is declared as a record

Figure 11-18 Declared record

1132 Solution 2 IBM Document Manager manual declaration and IBM Records Manager auto classification tool

The second solution involves using IBM Records Managerrsquos auto classification tool in conjunction with manual declaration from IBM Document Manager

Configuring IBM Records Manager for auto classification ruleSometimes you have to declare a record manually in IBM Document Manager systems To assist the records classification step and to help reduce potential records classification errors IBM Records Manager provides the auto classification function working in conjunction with manual declaration Using the IBM Records Manager administrator client we can set up an auto classification policy to make classification easier for users

Using our case study as demonstration perform the following steps to set up an auto classification policy

1 Open the IBM Records Manager administrator client page using the appropriate URL For example

httphostltport_numbergtIRMClient

2 Select English on the language list

3 Enter the user ID and password from the login page Click Login

4 Select Tools from top menu bar

5 Select Auto Classify on the left panel

Figure 11-19 shows the page of Auto Classify configuration

Figure 11-19 Auto Classify configuration

6 Click Add from the content panel on the right side

7 On the Select Component Definition for New Rule window select Component definition Click OK

Figure 11-20 shows the Select Component Definition for New Rule window

8 On the Auto Classify Rule window enter a new name for auto classification rule For our example we select Staff

9 Click Browse to select the appropriate file plan path

10Navigate to the proper file plan component name and click the radio button to the left of it

11Click Choose this component

12Enter the appropriate auto classification rule pattern For our case study we

ndash Select AND for the Inter-Field Operator dropdown boxndash Select Document Title for the Field dropdown boxndash Select = for the Operator dropdown boxndash Enter Staff in the Value field

This information translates to auto classification any document with a document title that equals to Staff Figure 11-21 shows the Auto Classify Rule window for our case study

13Click Add Repeat these steps to create more rules Click Save

After saving the auto classification rule a new item appears in the auto classification rule list Figure 11-22 shows the Auto Classify List for our example

Figure 11-22 Auto Classify configuration list

Using manual declaration with auto classificationAfter setting up the auto classification rule you can test and check how IBM Document Manager manual declaration works with IBM Records Managerrsquos auto classification Using our case study as demonstration perform the following steps

1 Open the IBM Document Manager desktop client and log in

IBM Document Manager Cache services IBM Document Manager Life cycle services

2 Click Add Item The dialog box shown in Figure 11-23 opens

3 Select Staff for the Class field and Document for the Type field Click Next

4 Select staff photo and then click Open

5 Enter appropriate values for Name SerialNo Department Age Nationality and Gender fields See Figure 11-24 Click Apply

6 Find the document that you just created For our example we perform the following steps

b Enter the appropriate search criteria (Figure 11-25)

bull Select And in the Condition fieldbull Select Name from the Property dropdown boxbull Select = (Equals) as the Filter fieldbull Enter Dennis in the Value field

7 Click Add and then click Search

The staff document that you just imported displays

8 Select the newly created document and click Manual Declare

9 When the Document - Declare windows opens (this is the IBM Content Manager Records Enabler declaration window) select Document as the component definition

10Click Auto Classify which automatically selects the proper file plan path as shown in Figure 11-26

Figure 11-26 Auto Classify page

11Enter information for the Document Name field For our example we enter 198203

12Click Finish

After you refresh the IBM Document Manager desktop client the documentrsquos attribute IsRecord is changed to yes which means that this document has been declared as a record

114 Declaring records in IBM Records Manager

In IBM Records Manager administrator client you can declare a record and import content to the record Using our case study as demonstration follow these steps to declare a record

1 Launch and log into the IBM Records Manager administrator client using the following URL

httphostltportgtIRMClient

2 Select Records Management Operations from top menu bar

3 Select Declare Record from the left panel

4 Select Document as the Record Type Name

5 Click Declare on the content panel on the right side The DMRecord-Declare window opens as shown in Figure 11-27

Figure 11-27 IBM Records Manager Record-Declare page

6 Select the record host For our example we select icmnlsdb

7 Click Browse to select the file plan path for the record

8 Navigate to the proper file plan component name

9 Click the radio button on the left of it as shown in Figure 11-28 and then click Choose this component to perform the selection For our example we browse and select the file plan component US Bank File PlanAmericasBankClient CommunicationsComplaints

Figure 11-28 Browse File Plan page

10Enter the Document Name information For our example we enter Dennisrsquo feedback

11Click OK

After this step the record is declared A Renditions window opens which means that you can import content for this record

12If you choose not to import content for this record click Close

Otherwise follow these steps to import content for the record

a Select Document from the Item type drop-down box

b Click Browse and select a specific document

c Click Add to add this document as content for the record

d Click Close After you close the Renditions window the content of the record is imported

This completes the instruction for configuring auto and semi-auto records declaration and classification in IBM Document Manager solution and directly in IBM Records Manager system

Chapter 12 Search and reporting

This chapter introduces search and reporting features in IBM Records Manager We include step-by-step instructions on how to create some of the searches and reports with our case study

Searching in IBM Records Manager

Creating custom searches (including reports)

ndash Searching for records by records declaration datebull Creating a search for records by records declaration datebull Retrieving a saved searchbull Defining a report

ndash Searching for records placed on hold by hold reasonsbull Searching for records that need to be suspendedbull Suspending records from search resultsbull Creating a suspension reasonbull Searching and reporting on the suspended records

Search hints and tips

Mapping new fields to IBM Records Manager database

ndash Creating a custom attribute in IBM Records Managerndash Mapping host application field to the new custom attribute

Additional sample reports

12

121 Searching in IBM Records Manager

Using the IBM Records Manager administrator client you can perform searches on the IBM Records Manager database This database includes information about the file plan its components users and groups definitions security information and records related metadata

IBM Records Manager ships with several default searches that are ready to use as is These are primarily system level or maintenance types of searches

Figure 12-1 shows the default searches that IBM Records Manager provides They are called common searches You can access them by selecting Search rarr Saved from the IBM Records Manager administrator client windows

Figure 12-1 Default common searches

There are several search types Using the drop-down menu you can select

Public Searches that have been created and saved for access by all users

Private Searches that have been created and saved for access by a specific user These searches can be seen only by the authorized user

PublicPrivate Both sets of searches created and saved in the system

Common Default searches provided for standard maintenance functions used by IBM Records Manager administrators

To create a new search select from Simple or Advanced from the left navigation panel An Advanced search provides for greater control over the search results and allows you to filter on fields that are not provided in the Simple search interface

122 Creating custom searches (including reports)

To demonstrate the usefulness of the search feature and how to perform searches in IBM Records Manager we show you how to create the following two searches

Search for records by records declaration date

While showing you how to create the search we show you how to

ndash Save and run your searchesndash Retrieve saved searchesndash Define reports based on the saved searches

Search for records placed on hold (suspended records) by hold reasons

ndash Search records to be placed on holdndash Place records on hold (suspend records)ndash Create suspension reasons

These two searches are easy to create and practical to use for day-to-day operation We highly recommend that you create similar saved searches and reports for your system

Tip Start with a Simple search to become familiar with the system After working with searches for a while we recommend using an Advanced search interface to make the selection of search output fields simpler and overall more flexible and efficient to use

Chapter 12 Search and reporting 219

1221 Searching for records by records declaration date

This search provides a listing of all records in the system that have been declared by a specific date sorted by descending date In a production system this report would most likely be further refined to report on records created by a specific division or group within an organization instead of searching on the entire file plan This type of search is useful for monitoring operations and for future business planning

The search interface includes multiple parts with many fields Figure 12-2 shows the Search Scope portion of the window

Figure 12-2 Advanced search scope selection

Creating a search for records by records declaration dateTo create the search for records that are declared by a certain date use the following steps

1 From the Search menu select Advanced

2 Define the Search Scope section information

a For the Select an item to report on drop-down box select Document and click Go Clicking Go is necessary to refresh the page to include the menu items specific to the selected entry

b Enter Search in value This value is where you specify from which file plan component in the file plan hierarchy that you want to conduct your search Specify the highest file plan component where you want to start the

search You can enter the information manually or you can use Browse as follows

i Click Browse

ii From the file plan tree on the left panel define the scope of the search areas to navigate to the area where you want to perform the search

iii From the right panel select the file plan component

iv Click Choose this component

For our example we select US Bank File Plan

3 Scroll down the Advanced search panel until you see the Search Output Fields section part of the panel as shown in Figure 12-3

Figure 12-3 Sort fields and output fields

4 Define the Search Output Fields section information

a Select the output fields for the search

i Click Output Fields The window shown in Figure 12-4 opens This panel allows you to select from a large number of available fields to show in your search results

Figure 12-4 Selection of output fields

ii Select one or more fields from the Available Fields

iii Click Add

Hint In creating a search we found performing this step to be useful in understanding what type of data is stored in the various fields While the field names are descriptive viewing the search results with the selected output fields enhances our understanding of the data that is available

iv Arrange the output fields in the order that you want to see in the search result by selecting the field and clicking Up or Down until the field is in the right position Moving a field up in the list means that it is to the left of those below it when viewing the output

For our example we move Address by code to the first position

v Click OK to save your selections about the output fields

b You can select multiple fields by which the search output to be sorted

i From the Available Sort drop-down box select the first field by which you want the output to be sorted For our example we select Document Creation Date

ii Select the Descending check box if you want to sort the field by descending order If the check box is not selected the search output is sorted by the field in the ascending order

For our example we select the Descending check box because we want to have our output from the most recently declared records to the oldest records

iii Click Add This adds the sorted field into the Selected Sort Fields

iv Repeat the previous three steps for other fields that you want the search output to be sorted by For our example we do not have to do that

5 Define the Search Output section information Figure 12-5 shows the Define Search Output selection options

Figure 12-5 Where to output the search results

You have several output options for the search results

ndash Document Type Definitions (DTD) This option creates the DTD file necessary to use with the XML output to create a XSL stylesheet for formatting search results into reports

ndash Return results in the browser This option is good for testing your searches and modifying them quickly or finding a specific piece of information that you do not need to create a report on

ndash Printed Report This option gives you two choices

bull XML Provide output of the search results in an XML format

bull PDF Create a PDF file of the search results This option cannot be selected until at least one Report Layout is created

For our example we leave Return results in the browser selected

6 Save and run the search

Figure 12-6 show the Save Search options

Figure 12-6 Naming the search

To save a search you have to provide a name for the search Use a descriptive so there is no misunderstanding of for what the search is You can define the search as private for your use only or as public for everyone that uses the IBM Records Manager administrator client interface

To save and run your search perform the following steps

a For the Search Type field keep the Private Search option selection

b Enter the name of the search in the Name field

For our example we enter Records in System by date

c Select Save and Run

The system informs that the search is saved See Figure 12-7 Click OK

Figure 12-7 System prompt the search is saved

7 Figure 12-8 shows the result of the search

Our system has 15 records declared so the result from the search is very manageable If you have millions of records in the system and you want to create a report similar to this you might want to limit the results based upon a date or date range In our example we could have selected not to search for records in the entire file plan instead we could have changed the scope to find records in Americas and only Complaints

Figure 12-8 Search results

For our search results we select the following fields to be in the result

Address by code The file plan path by codes that your file plan administrator designed

Address by name The same as address by code with fully qualified names of the file plan path

Document name Metadata created by the user during record declaration process or automatically by some other application during the process

Document code Unique code assigned to the record This is based upon your file plan conventions determined by your business needs This metadata would be entered either manually or by some automated process during the record declaration process

Document title Metadata created by the user or some automated process during the declare process

Document creation date The date and time the object item or document was declared as a record to IBM Records Manager

Notice there is a check box to the left of each item in the output You can perform various actions only on the selected items

If you want the output to be in a format other than just in a browser window we discuss how that can be done and various actions you can perform on the search results in ldquoDefining a reportrdquo on page 229

Retrieving a saved searchAfter saving your searches you can retrieve the saved search and run the search again

To run the saved search again (see Figure 12-9) perform the following steps

1 From the Search menu click Saved

2 From the Search Type drop-down box select Public Click Go

3 Select the saved search from the previous section Records in System by date

4 Click Run to run the saved search again

5 You should see the same result output that you had earlier

Figure 12-9 Retrieving saved search

Defining a reportThe previous sections showed you how to

Create a search with the fields that you want to see in the output Run the search and obtain the results that you wanted Name and save the search Retrieve the saved search and run the saved search again

You can save search results into a report

When defining a search you can select the following output options to provide the flexibility in different report format

XML Document Type Definitions PDF

Figure 12-10 shows formatting with an XSL stylesheet

Figure 12-10 Results formatted with XSL stylesheet

The output is obtained by using the methods described in Chapter 6 - Generating a report in IBM Records Manager of IBM Records Manager Tutorial Guide SC18-9886 The chapter references the use of an XML tool called StyleVision by Altova and uses both the DTD and XML output options for the report You can use any number of XML formatting tools to format search results into a report

We used StyleVision to give the report a title and renamed the columns to something more meaningful These types of tools have many formatting and output options and can create conditional statements on the data to provide highly customized reports

After creating the output view you want import the resulting XSL into IBM Records Manager and assign it to the saved search Using this XSL IBM Records Manager can automatically format the search result data and create a PDF report

1222 Searching for records placed on hold by hold reasons

Sometimes records are required to be placed on hold (suspended) due to pending litigations Putting a hold on records prevents the records transitioning to the next life cycle phase or being destroyed To demonstrate searching for records placed on hold we first show you how to place records on hold

To put records on hold you have to search for records that need to be suspended and then you need to suspend these records

Searching for records that need to be suspendedFor our example we want to hold all records related to Keith We would first perform a search to find these specific records Figure 12-11 illustrates how we create a records search

Figure 12-11 Creating a search for specific records

To search records related to Keith Wheeler perform these steps

1 From the IBM Records Manager administrator client select Search

2 From the Search panel select Advanced

3 In Search Scope select Document and click Go

4 In Search Scope click Browse and select US Bank File Plan

5 In Search Filters select Document - Document Name in the Field drop-down box

6 In the Operator drop down select Like

7 In the Value box enter Keith and click Add We are going to find any record that has Keith Wheeler in this field Using LIKE and the characters allows us to search the field for the string desired

8 Select Run to see the output of the search shown in Figure 12-12

There are three records found from the search We need to suspend or hold these records

Suspending records from search resultsTo suspend the records returned from the search perform these steps

1 From the list of records returned from a search select the top most check box (next to the field names) to select all records in the search result window as shown in Figure 12-13

Figure 12-13 Selecting the search results for update

After you select one or more items from the search result the menu options are no longer grayed out The Suspend action button is now available Other available actions include Migrate Move and Bulk Update operations For our example we are only interested in suspending the selected records

2 Click Suspend The window shown in Figure 12-14 opens

Figure 12-14 Selecting the suspension reason

3 There are two defined reasons for placing a record on hold You can select one or more of these reasons and then click Save

For our example we select Account Dispute in the All Suspensions box and click the right arrow button to move the suspension reason to the Selected Suspensions box

4 Click Save

The records are now placed on hold A record can be suspended for more than one reason and is not unsuspended until all suspensions are removed

Before we move on to create our search for suspended records let us take a moment to see how you can define these suspension reasons in the system

Creating a suspension reasonWhen suspending any records you must specify one or more suspension reasons To create suspension reasons perform these steps

1 From IBM Records Manager administrator client select Administration and then select Suspensions For our example we see Figure 12-15 Note there are two suspension reasons already created

Figure 12-15 Suspensions panel

2 Click Add A new windows as shown in Figure 12-16 opens

Figure 12-16 Add a suspension panel

3 In the Suspension Name field enter a descriptive name for the suspension

4 From the Suspension User ID drop-down list select the user ID of the suspension user

5 Click Save to add the suspension to the system

You can create more suspension reasons as necessary We are now ready to create a search and a report on the suspended records

Searching and reporting on the suspended recordsAfter putting some records on hold (as described in ldquoSuspending records from search resultsrdquo on page 234) we can now perform searches on the suspended records and create a report on these records This report is a valuable report When the litigation is satisfied the IBM Records Manager administrator can use this report to review a list of suspended reports and proceed to unsuspend them

To perform search and define a report on the suspended records perform these steps

1 From IBM Records Manager administrator client click Search and then click Advanced Search Figure 12-17 shows the advanced search interface

Figure 12-17 Search template for suspended records

2 In the Search Scope area select Suspension and click Go

3 Select the file plan path to search for the suspended records You can either enter the file plan path directly or use Browse to select the specific path For our example we select US Bank File Plan

4 In the Search Output Fields section click Output Fields Select the following output fields for your report and click OK

ndash Suspension - Suspension Namendash Suspension - Address by namendash User - User Namendash File Plan Component Definition - File Plan Component Codendash File Plan Component Definition - File Plan Component Creation Datendash File Plan Component Definition - File Plan Component Namendash File Plan Component Definition - File Plan Component Titlendash Life Cycle Code - Citation and timendash Life Cycle Code - Disposal Typendash Life Cycle Code - Life Cycle Code Name

You can select more fields for this search if necessary We find these fields are the minimum fields required for the search

5 For available sort fields select Suspension - Suspension Name and leave ascending as the default

6 In the Save Search section enter Suspended Records and click Save and Run

For our example the result of the search is shown in Figure 12-18

Figure 12-18 Suspension search results

There are four records on hold Three of them are suspended due to account disputes which we suspended earlier and one is due to litigation

Using an XSL tool you can reformat the search results for our example Figure 12-19 shows the search results formatted into a report

Figure 12-19 shows the records that have been suspended (placed on hold) The suspended records are sorted by the hold reason In the report formatting we drop the retention rule and citation fields

Figure 12-19 Formatted suspension report

Note Describing how to use an XSL tool is beyond the scope of this book

123 Search hints and tips

While working with the search facility in IBM Records Manager we have the following recommendations

Understand the fields available based on a specific search type Understand the limits imposed by the solution design For quality report formatting XML and style sheet designing skill are required

1231 Available search fields based on a specific search type

When you change your search scope component type the available fields change based on the component type Using the advanced searchrsquos output fields box is much easier during search testing than using the simple searchrsquos configure columns button

Field definitions might not always mean what you think they mean An example would be when performing a document search for records as in our first example you decide to add the field userid What does this field really mean

Does the userid field represent

The ID of the user who declared the record The ID of the user who created the original object The ID of the user who last updated the record in IBM Records Manager

Based from our example the userid field represents the user who originally created the object (not the record) This data can change if an IBM Records Manager administrator performs any operation on the record

By using advanced search and selecting all available fields in the Output Fields selection box we can determine quickly what data is valuable to use and what is not

1232 Searching and reporting on fields that are not available

Sometimes you want to perform a search on a field that is not available in IBM Records Manager If this information is stored on the host application where records are originally created you can map additional fields from host application to IBM Records Manager database such that these fields are available to be searched and reported See 124 ldquoMapping new fields to IBM Records Manager databaserdquo on page 243 for details

1233 XML and stylesheet design skills

There often is a requirement to present the report data in a specific format for users This requirement can include company logo specialized page headings custom names for the fields conditional sorting and sub-sorting of the fields

IBM Records Manager has the ability to produce a search result not only to the browser for quick viewing but also to XML and DTD There are many tools in the market that can accept this search result as input and create specialized XSL After the XSL is created you can import it as a report template into IBM Records Manager and assign that report template to the appropriate saved search After the import you can select the PDF option as output

It is helpful to have some skills in using such tools and in creating XSL We recommend a person who has these skills to customize your report output

124 Mapping new fields to IBM Records Manager database

If the fields that you want to search or report on are not in the IBM Records Manager database you have to map these fields from the host application to IBM Records Manager database and to configure the system such that whenever a record is declared this field information is carried from the host application to the IBM Records Manager database

In this section we show you how to add an additional field to be searched for our example For our records management solution we use IBM Content Manager as the host application and IBM Content Manager Records Enabler to provide the functional link between IBM Records Manager and IBM Content Manager

For our example we want the report (that shows a list of records by records declaration date) to include the user that performed the record declaration The item being declared from the host application can be a document that is scanned from a batch scan subsystem In IBM Content Manager the document might show a source ID of BATCSCN1 This document can pass through several workflow steps and is updated or altered by multiple users before it is declared as a record When a user determines it is time to declare this document as a record assuming we are doing manual declare the user would select the item from IBM Content Manager and declare it as a record The document becomes a record By default BATCHSCN1 is passed to IBM Records Manager for the userid field We want the user ID that represents the user who declares the record to be passed to IBM Records Manager so that we know who performed the record declaration

Mapping new fields from the host application to IBM Records Manager involves two steps

1 Create a custom attribute in IBM Records Manager

2 Map host application field to the new custom attribute in IBM Records Manager

Creating a custom attribute in IBM Records ManagerThe first step is to create a custom attribute field in IBM Records Manager that stores the user ID that performed the record declaration To create a custom attribute field in IBM Records Manager

1 From the IBM Records Manager administrator client select Administration then select File Plan Design rarr Components as shown in Figure 12-20

Figure 12-20 The file plan component page

2 Select Document because the custom attribute we want to define will be a document or record level attribute Then click Edit and scroll down to see the window as shown in Figure 12-21 It shows a list of existing attributes

Figure 12-21 Editing the attributes

3 Select Add to create a new custom attribute as shown in Figure 12-22

Figure 12-22 The add panel

4 In the Properties part of the window enter the custom attribute name in the Attribute Column Name field This is the internal database field name and cannot have any spaces For our example we enter TestAttr

5 For the Attribute Caption field enter the caption information This caption is what the user sees in IBM Records Manager For our example we enter Test Attribute

6 For the Attribute Data Type field select the field type For our example we select String and enter a length of 32 for the Data Type Maximum Length field

You can select input patterns and make the field mandatory as well as other options if needed

7 Select Save The result is shown in Figure 12-23

Figure 12-23 Our new attributes defined

The new custom attribute is defined and shows as the last attribute in the list Notice that custom attributes have TS_ as a prefix by default This prefix ensures that they do not conflict with any of the existing system-defined attributes

Mapping host application field to the new custom attributeAfter the custom attribute is created in IBM Records Manager we need to map the field (in the host application) that includes the information that we want to the new custom attribute You can map this information through IBM Content Manager Records Enabler application

For demonstration purposes instead of mapping the user ID who declared the record to IBM Records Manager we map an IBM Content Manager attribute (Is Attached to Menu) to an IBM Records Manager attribute (Review Life Cycle Phase Flag) using IBM Content Manager Records Enabler

To map fields from IBM Content Manager to IBM Records Manager

1 Launch IBM Content Manager Records Enabler (Figure 12-24)

Figure 12-24 The administrator client

2 Log in and the main administration menu displays See Figure 12-25

Figure 12-25 IBM Content Manager Records Enabler administration panel

3 Select Attribute Mapping (Figure 12-26)

Figure 12-26 Mapping attributes

4 From the Attribute Mapping panel there are two options

ndash Add Mappingndash Delete Mapping

Select Add mapping (Figure 12-27)

5 Figure 12-27 shows the existing attributes mapped between IBM Records Manager and Content Manager They are

ndash Created userid gt CM Import User IDndash Created userid gt CM Created User IDndash Modified userid gt CM Modified User ID

The IBM Content Manager attribute is on the left side and the IBM Records Manager attribute is on the right side

6 Select the attribute that you want to map from IBM Content Manager to IBM Records Manager For our example we select Is Attached to Menu and click Select The panel shown in Figure 12-28 displays

7 Figure 12-28 shows a list of available IBM Records Manager attributes Select the one to which you want to map For our example we select Review Life Cycle Phase Flag and click Map at the top of the page

Figure 12-28 Selecting the IBM Records Manager attribute

You can repeat these steps to map other fields from IBM Content Manager to IBM Records Manager Remember to create new corresponding custom attributes in IBM Records Manager first before perform the mapping

If the information that you want to map is currently not available in the host application (yet it is related to the host application) then you should redesign your host application to include this information sometimes during the document declaration processing or record declaration The user can enter the information manually or the system can capture it automatically

125 Additional sample reports

There are many reports that you can create from IBM Records Manager Some sample reports that you might want to create for your system include

File plan report Defined user information report Retention rules

File plan reportFigure 12-29 is an extract from a TNA (PRO) file plan report The file plan report shows the relationships between the file plan components from left to right

Figure 12-29 Sample file plan report

Defined user information reportFigure 12-30 shows part of a defined user information report

Figure 12-30 Sample defined user information report

The report shows a list of users that are defined in IBM Records Manager the group they belong to their security classification function access rights and whether they are host users or local users The report also shows how they are mapped to the host application the IP address of the host application and if the ID is active Notice that administrator is shown twice showing membership in two different groups

The codes used in Function Access column represent the function access rights and permissions defined for the users The codes are defined in Appendix A ldquoFunction access names permissions and their abbreviationsrdquo on page 299

Retention rulesFigure 12-31 shows the retention rules for our system

Figure 12-31 Sample retention rules report

For our example our system has two retention rules defined We see the citation or reason for the rules existence and the disposal type for the records who reach the end of their retention

This completes the information for search and reporting features in IBM Records Manager

Chapter 13 Auditing and monitoring

This chapter introduces auditing and monitoring for IBM Records Manager We include step-by-step instructions on how to enabling audit entries and monitor your system

Overview of auditing

Enabling auditing

Sample audit entries

ndash Auditing add eventsndash Auditing entries by user

Monitoring your records

13

131 Overview of auditing

Auditing in IBM Records Manager is simply the recording of events that are related to records and components in the file plan Components can be any part of the definitions in a IBM Records Manager system including the file plan its components users and records that are declared in IBM Records Manager When auditing is complete you can purge the logged events and remove them from the audit tables

Figure 13-1 shows the items that can be audited To access this window select Tools rarr Audit Configuration Noticed that any component or system type definition can be audited

Figure 13-1 IBM Records Manager Audit Configuration window

Clicking Audit Configuration Summary shows that auditing is not currently enabled for this system See Figure 13-2

Figure 13-2 Audit summary before enabling

Chapter 13 Auditing and monitoring 259

132 Enabling auditing

To see the activities on the fields you must enable auditing To enable auditing

1 From IBM Records Manager administrator client select Tools rarr Audit Configuration

2 Select the components that you want to enable auditing one at a time and click Edit For our example we select User and click Edit The Audit Configuration - User window opens as shown in Figure 13-3

Figure 13-3 Audit Configuration - User window

3 Select the type of actions that you want to audit for the particular component

For our example we select all Actions with the exception of View and click Save The Actions box that is above the events either selects all actions or clears all actions

Figure 13-4 shows the selection of events for documents or records Note that the events are different for the various components For example one cannot perform a charge out or host retrieve on a user

Figure 13-4 Audit Configuration - Document window

4 Continue through the list of components and enable options for the components

5 When you have enabled all the components look at the Audit Configuration Summary window again

Figure 13-5 and Figure 13-6 show the events that we enabled for our example

Figure 13-5 Audit configuration report Page 1

133 Sample audit entries

After enabling auditing we perform some typical activities such as declaring records creating a user and performing searches to generate entries in the audit table You might choose to perform other types of tasks to generate different entries in the audit table

1331 Auditing add events

Let us take a look at the add events that have taken place since we enabled auditing Creating an audit report involves using the advanced search function and selecting Audit Entry as the item to report on Follow these steps

1 From the IBM Records Manager administrator client select Search rarr Advanced select Audit Entry in the Search Scope and press Go as shown in Figure 13-7

Figure 13-7 Audit entry for added items

When we select Audit Entry and click Go the Search In line under Search Scope closes because no further refinement of the scope is required

2 In Search Filters select Event Action Name Then using the Look Up button select the value of Add Use the logical operator equals

3 Click Add to place the search filter condition into the box as shown

After clicking Run on advanced search window for our example we get the results as shown in Figure 13-8

Figure 13-8 Add results

Here we see that four add events have taken place in our system Yours might be different depending upon what actions you have performed

Noticed the user Serena has added a user called Atest1 The user ICMADMIN has added or declared three records (documents) The result shows which part of the file plan these documents were added

There is more data available for the audit report If required you can add the event comment field as shown in Figure 13-9

Figure 13-9 Showing more details

This event comment field in XML format shows the detailed values that were used during the creation of the event Using an XML parser you can format this data in a report generator or you can use an XSL stylesheet imported into IBM Records Manager and create a PDF formatted output

There is also a field called Previous Event Comment that shows the prior data values that we chose not to show Using these fields together can provide valuable information if you are required to maintain a detailed record of events and changes made by them

1332 Auditing entries by user

You can also create an audit report based upon a specific users actions For our example we create a audit search for actions taken by the user Serena To obtain audit entries for a particular user

1 From IBM Records Manager administrator client select Search rarr Advanced

2 Select the Originator User Name field as shown in Figure 13-10

Figure 13-10 Auditing a users actions

3 Select a local user or a host user

a For our example we select Look Up to give a user selection panel as shown in Figure 13-11 For our example the user Serena is not in the list because Serena is not a local IBM Records Manager user but a Host Application user

Figure 13-11 User selection panel

b Select the drop-down Host and select icmnlsdb which is the name of the IBM Content Manager host application that we are using The result is shown in Figure 13-12 You can type the name (in our example Serena) in the Find name starting with field Then click Go

Figure 13-12 Selecting host users

c For our example we select icmnlsdbSerena and click OK which returns us to a window as shown in Figure 13-13

Figure 13-13 User almost added

4 Click Add to place the user selection into the Search Conditions box Figure 13-14 shows the completion of the Search Conditions for our example

Figure 13-14 User added to search condition box

5 Select Run and see the search result For our example we see what Serena has been doing in Figure 13-15

Figure 13-15 Search results for user actions

The result shows that Serena performed the following actions

1 Logged into the system at 439 am

2 Changed her group membership at 441 am

3 Added a user called Atest1 at 441 am Note that the times for the user group membership change and the add of a new user are identical It is not possible for Serena to type that fast so we would have to assume that the prior line relating to user group membership change is a by-product of the user add

4 Serena logs on again at 638 am Noticed that we do not see a logoff from Serena prior to this second logon which means that Serena never logged off The system timed out her session or she experienced a network communications error that terminated her session Either way we know that she did not explicitly perform a logoff

5 Serena then performs a host retrieve of a document from icmnlsdb Looking at the column Object Name Prefix we can see which specific document she retrieved for viewing Noticed that we do not see the viewing of the document as an activity in the log because we did not select View as an audited activity

6 Finally at 639 am Serena logs off

IBM Records Managerrsquos auditing and reporting capabilities are very powerful Some of the data fields such as Event Comment shown earlier can be quite intimidating because of the amount of data placed into a single field We can also see that with the implementation of style sheets or exporting the data to a XML parser we can create highly customized reports to suit almost any need or preference

Combine this capability with the ease of creating custom attributes and the value of the auditing and reporting capabilities becomes even greater

134 Monitoring your records

Monitoring of IBM Records Manager system is a bit more than just running a few audit reports on users and actions You should have some idea of what is expected to be happening within the system so that you can create meaningful and accurate reports Some of the things that affect the type of reports you would set up are

Are you required to adhere to a published set of rules or standards such as DOD 50152 The National Archives (PRO) SEC 17-a4 or Basil II Each of these have unique requirements that could determine what type of reports you need and the data you keep

Is your organization multinational If so regulations and laws vary from country to country At times these laws or regulations might be in conflict with one another How this will affect the types of audit events and audit reports you might be required to run can only be determined after careful review

What volume of records are you expecting to have declared on a daily weekly or monthly basis If you obtain a baseline and the volumes change suddenly is it indicative of a problem Monitoring volumes might tell you that a new group of users have not been trained properly if they are declaring everything as a record and this is not normal procedure The distribution of

the records across the components of the file plan should be considered If 50 of your records are expected to be related to account openings and only 10 of the records are actually declared under account openings this might also indicate a user issue

Is this a high volume system with a large number of users If so how quickly will the database grow if you enable most of the options in the auditing configuration This affects how often you want to run reports and purge the data Reports can quickly grow in size and take longer to run as the queries have more data to search through Running scheduled reports exporting them to a content archive such as Content Manager and purging the data from the IBM Records Manager system can improve performance and reduce database backup time The archived reports can also be declared as records based upon time period user name type or style of report and will be easy to reference in the future Before you purge make sure that the regulations and laws you adhere to allow for this type of activity

Regular reporting on expired items is necessary to ensure timely expungement of records Remember keeping documents or e-mail messages longer than necessary can be just as damaging to your organization as not being able to provide the documents if required

Chapter 14 Records disposition

This chapter demonstrates how you can perform records disposing with IBM Records Manager

Overview of disposition

ndash Disposition options

Disposing records using IBM Records Manager

ndash Getting eligible candidates for records disposalndash Narrowing the records to be disposedndash Disposing recordsndash Verifying disposed records through auditing

14

141 Overview of disposition

Disposition defines what happens to records at the end of their retention period a process commonly referred to as records scheduling in IBM Records Manager terms

1411 Disposition optionsYou can dispose of a record in four ways in IBM Records Manager

Destroy (expunge)

Both the metadata and content of the records are to be deleted from the existing business application and records management database If the record is physical for example a paper record destroy involves shredding or burning of the record The destruction of a physical record is the responsibility of a Records Administrator

Accession (archiving)

Both the metadata and content are to be deleted from the system However the history of the records information is passed to other records holding authority such as corporate archives

Review

The records are highlighted at the end of their life cycle Records staff should review the records and decide what to do with the records

Export

IBM Records Manager translates records into XML

142 Disposing records using IBM Records Manager

You must dispose of records in IBM Records Manager manually Part of disposing records is to review the records that are eligible to be disposed

1421 Getting eligible candidates for records disposal

Figure 14-1 shows the window where you can perform a new life cycle search

Figure 14-1 New life cycle search Enter reference date to information

Chapter 14 Records disposition 277

Searching for eligible candidates for records disposalTo search for eligible candidates for records disposal follow these steps

1 Select Records Management Operations rarr New Life Cycle Search

2 Enter a range of the dates for Reference Date From and Reference Date To fields for the eligible candidates (for example 11292006) as shown in Figure 14-2

Figure 14-2 New life cycle search Configure batch operation

3 Scroll to the middle part of the window and enter search criteria for eligible candidates For our example the date is the only criteria we use to search for eligible candidates to be disposed

4 Under Batch Operations section for Task Name field enter a descriptive name for the job For our example we enter Records Eligible for Disposal as of 11292006

5 Select Start Now

6 Click Run

These steps result in a list of records to be disposed For our example it shows a list of candidates as of 11262006

Let us perform a second life cycle search starting from Figure 14-3

Figure 14-3 Life cycle search Search for those eligible for transition

Important Put a descriptive name of the job in the Batch Operations section and not in the Save Search unless you want to save the search and run the job later Note when you run the job later you still have to run it in batch operation

Searching records eligible for transitionFor the second life cycle search perform the following steps

1 Select Eligible for transition

2 The default date is today We leave all date fields empty

3 Scroll to the middle section of the windows Under Batch Operations enter any description that you want in the Task Name field For our example we enter Records Eligible for Disposal as of 12062006 as shown in Figure 14-4

4 Click Run

Figure 14-4 Second life cycle search Batch operation configuration

Viewing the records from batch operationsTo see the output of the searches perform the following steps

1 Select Records Management Operations rarr Batch Operations List Figure 14-5 shows where all batch operation reports are available

Figure 14-5 Batch Operation List Get disposition candidates

2 Select Get Disposition Candidates from the Task drop-down list

3 Click Refresh For our example we see two results as shown in Figure 14-6

Figure 14-6 Batch Operation List Get disposition candidates result

4 To view the batch operation result select a result entry and click Results For our example we select the first batch operation result the 1129 report A window similar to Figure 14-7 opens For our example there are 11 items eligible for transition These are all the records declared on 1129

Figure 14-7 Result of candidates eligible for disposal as of 11292006

5 Close this window Now you are back to the previous window as shown in Figure 14-8 where it shows a list of the batch operation result for disposition candidates

6 For our example we also want to view the results of 1206 report We select the 1206 report and click Results Figure 14-9 opens Notice that there are now 14 items in the result

Remember earlier in Chapter 12 ldquoSearch and reportingrdquo on page 217 we placed four of the 18 records on hold in the system So only 14 are eligible regardless of

the date Of these records three are declared on 1204 which is why the 1129 report only shows 11 records eligible for disposal

1422 Narrowing the records to be disposed

You might not want to dispose all eligible candidates from one operation To remove a record from the disposition list select the check box on the left of the record entry and click Remove to remove it from the disposal list

To verify that you indeed have the right set of records to dispose return to the previous window and select the batch operation entry again and click Results You should not see the entries that you removed earlier in the new result list

1423 Disposing records

To actually dispose of records you have to perform a transition operation on the selected records Perform the following steps

1 Select the report that includes the eligible candidates that you want to dispose For our example we select the 1206 report

2 Select Transition Figure 14-10 opens For our example this action should dispose 14 items

Figure 14-10 Transition disposal records

Tips If you generate a report after the disposition report the Transition option would not show You must generate the report again narrow the records that you want to dispose and then use the Transition action

3 Transition records is also a batch task and must be given a name At the transition window as shown in Figure 14-10 enter a description for the Task Name field

4 Select OK and Open Status Page

5 The system prompts you if you want to transition all qualified records (Figure 14-11) Press OK

Figure 14-11 Prompt to confirm transitioning of all qualified records

Now we have to check the batch transition operation from Figure 14-12

Figure 14-12 Transitioning disposal records

When returning to the Batch Operations List to see the resulting batch transition operation for our example we see that the report failed

Troubleshooting (missing set server directories)Let us analyze the transition report failure for our example Figure 14-13 shows the failed batch transition operation

Figure 14-13 Batch operation list Failed batch transition operation view error

From the drop-down Bulk Operations menu select View Error Figure 14-14 shows the error message

Figure 14-14 Failed error message for batch transition operation

From the error message it shows that there is a mandatory field TransferMetaDataDir is missing This error message occurs because during the setup of IBM Records Manager we did not set up the proper directory to where the metadata is transferred

Let us now set up the missing directory by performing the following steps

1 Select Tools rarr System Configuration rarr Server Configuration Figure 14-15 opens

Figure 14-15 Server configuration

2 Scroll down the page until you see the Server Directories section as shown in Figure 14-16

Figure 14-16 Server directories configuration

3 Enter the proper directory for the Transferred records metadata directory Transferred records content directory and Export schema directory fields These directories must be defined on the IBM Records Manager server storage area somewhere where IBM Records Manager is installed

4 Click Save

After the directory is defined we can run our report again

For demonstration purposes we do not want to delete all these records You might not want to delete all of them either Figure 14-17 shows the list of these records that are eligible to be deleted for our example

Figure 14-17 Eligible records to be disposed

When you go back to the report and view the results clear the records that you do not want to dispose For our example we clear 10 out of the 14 items from the transition report Run the batch transition operation again Enter the transition description in the Task Name field See Figure 14-18 as an example

Figure 14-18 Doing batch transition operation again for only four selected records

Run the transition report again

Figure 14-19 Running batch transition operation again after directories information are set

This time it has run successfully See Figure 14-20

Figure 14-20 Successful batch transition operation after directories setup have been done

Go back to the saved searches and select the records in system by date See Figure 14-21

Figure 14-21 See records in the system by date

You will see that the disposed records are no longer in the report For our example we see a total of 14 items in the system when earlier we had 18 This includes the four records that are on hold

1424 Verifying disposed records through auditing

To verify that the disposed records have indeed been destroyed (transitioned to destroy) from the system perform these steps

1 Go to the Saved search See Figure 14-22

Figure 14-22 Run audit report

2 Select Common for search type

3 Select Audit

Figure 14-23 shows that four records have been destroyed for our example

Figure 14-23 Audit search that shows that four records have been deleted

Depending on your legal and business requirements you might want to keep the audit log of the records disposition to show that you have these records and they are disposed according to predefined schedule properly

Part 3 Appendixes

Part 3

Appendix A Function access names permissions and their abbreviations

This appendix provides a list of the function access names permissions and their abbreviations

A

Function access names and abbreviationsTable A-1 shows a list of function access names and their abbreviations

Table A-1 Function access abbreviation

Function Access Name Abbreviation

Auto-Classify Rules Management AC

Audit Management AM

Audit Reporting AR

Charge Out Management COM

Disposal Authorities DA

Default Management DM

Browse File Plan FA

File Plan Design FD

Field Level Security Management FS

Life Cycle Management Design LD

Life Cycle Management Operation LO

Extensions Management MM

Purge Audit Entry PAE

Profile Design PD

Pick List Management PL

Report Search Management QM

Record Host Management RH

Report Layout Management RL

Reservation Management RSMtrade

System Configuration Management SC

Security Classification Management SCM

Security Descriptors Management SD

Security Classification Exemption Management SEM

Security Classification Guide Management SGM

Security Management SM

Security Classification Reason Management SRM

UsersGroups Management UG

View All Audit Entries VAE

Permission names and their abbreviationsTable A-2 shows a list of permission names and their abbreviations

Table A-2 Permission names and their abbreviations

PERMISSION Abbreviation

Add A

Add Link AL

Add Partition AP

Charge Out CO

Change Permissions CP

Delete D

Delete Link DL

Delete Partition DP

Dispose DP

Host Retrieve H (applies only to our internal Host)

Move M

Reservation RS

Suspend S

Update U

Un-suspend US

View V

Related publications

We consider the publications that we list in this section particularly suitable for a more detailed discussion of the topics that we cover in this book

IBM RedbooksFor information about ordering these publications see ldquoHow to get IBM Redbooks publicationsrdquo on page 304 Note that some of the documents referenced here might be available in softcopy only

IBM DB2 Document Manager with IBM Records Manager Solution Guide SG24-7180

E-mail Archiving and Records Management Integrated Solution Guide Using IBM DB2 CommonStore and DB2 Records Manager SG24-6795

Other publicationsThese publications are also relevant as further information sources

IBM Records Manager Planning and Installation Guide SC18-9185

IBM Records Manager Administration Guide SC18-9180

IBM Records Manager Technical Reference Guide SC18-9181

IBM Records Manager Import Export Guide SC18-9183

IBM Records Manager Concepts Guide SC18-9182

IBM Records Manager Tutorial SC18-9886

IBM Records Manager Enabler Installing and Configuring Guide GC18-7570

IBM Records Manager Enabler Users Guide SC18-7571

Online resourcesThese Web sites are also relevant as further information sources

IBM Records Manager production information page

httpwwwibmcomsoftwaredatacmcmgrrm

IBM Records Manager publication library

httpwwwibmcomsupportdocviewwssuid=swg27008856

IBM Records Manager toolkit download site

Quick Reference Records Management 101 Technote - A summary of key terms and definitions

httpwwwredbooksibmcomabstractstips0595htmlOpen

How to get IBM Redbooks publicationsYou can search for view or download IBM Redbooks Redpapers Hints and Tips draft publications and Additional materials as well as order hardcopy IBM Redbooks or CD-ROMs at this Web site

httpwwwibmcomredbooks

Help from IBM IBM Support and downloads

httpwwwibmcomsupport

IBM Global Services

httpwwwibmcomservices

Index

Numerics17a-3 SEC Act of 1934 1117a-4 SEC Act of 1934 112711 rule NASD 113010 rule NASD 113110 rule NASD 11440 rule NYSE 11

Aaccession

disposition 70active retention period 28Add Link permission 301Add Partition permission 301anti-money laundering statutes and rules 11Audit Management function access right 55 300audit report 51 145 264Audit Reporting function access right 56auditing 257Australian standard VERS 20authenticity 4Auto Classify Rules Management function access right 56auto declaration

records 34auto-classification

planning 37Auto-Classify function access 300

BBank Secrecy Act 11broker-dealers SEC Act of 1934 11buckets 29business application 83 85 89

benefit of using IBM Records Manager 82embed IBM Records Manager engine 84

business requirements 18 22

CC2241 requirement DoD 50152 19case study 61 125 217Change Permissions permission 301

Charge Out Management function access right 56 300Charge Out permission 56 301citation 28classification 35 37

planning 36planning for auto classification 37records 35

Client Communications 27 62 145 149ndash150life cycle code 149 154life cycle dates 149retention rule 154select Retention Rule 158

CMRE administrator client 183CommonStore solution 38

declaration level 44compliance 10

US regulations examples 10compliance and litigation requirements 8compliance and regulatory requirements 22compliance officers 22component definition 56 126 206

file plan components 140numeric value 134

component type definition 126content management 5cost containment 8creation

retention schedule 23 26custom attribute 167 172 244 246 273custom component definition 126custom programming

semi-auto declaration and classification option 37

Ddatabase name 95 100declaration 35 37declaration and classification

planning 36Default Management function access right 56default values for installation

IBM Records Manager database installation 94

305

IBM Records Manager engine installation 106IBM Records Manager V413 database upgrade 99

Delete Partition permission 301Department of Defense (DOD) 19destroy

definition 70disposition 70

destroy recordslegal consideration 9

discovery 75 82definition 72

disposition 28 35 71ndash72 78ndash79accession 70definition 70 276destroy 70review 70risk not performing 71

disposition options 70 276disposition results 71Document Management amp Electronic Archiving (DOMEA) 19Document Manager 38DoD 50152 19DoD 50152 requirements

C2241 19DOMEA 19

EElectronic Records Management Systems (ERMS) 19e-mail message 19 34 126

single record 45Employee Data 27 62 144 149 177 181

life cycle 149life cycle dates 149retention rule 151

ERMS 19Exchange mailbox 43Exchange Server 34 52 82 89

e-mail messages 34IBM CommonStore 38

existing business applicationclassification features 85IBM Records Manager 85IBM Records Manager functionalities 114

exporting metadata 19exporting records 19

expungedefinition 6 70

Extension Management function access right 56

FField Level Security Management function access right 56File Plan

Design 127File plan 125file plan 21 25 28 35 39 41 50 55 59 125 127 129 148ndash149 183 218 220 258

Component Name column 144definition 126design 55 61 83 127hiearchical file plan 30local branches 66planning 29top level 137

file plan component 51 55 59 126definition 56 58 126definition level 63page 244type 59

financial services industry 4fiscal requirement 8

compliant 8fiscal requirements 22fix packs

minimum level for installation 92FOIA 72folders subject-folders 29format

record 4Freedom of Information Act (FOIA) 72Function access right 55 254function access right 50 54

Audit Reporting 56description 55ndash56example assignment 57Purge Audit Entry 56required function role 57Security Classification Exemption Manage-ment 56Security Classification Guide Management 56Security Classification Management 56View All Audit Entries 56

GGerman standard DOMEA 19Gram-Leach-Bluely Act 12

Hhiearchical file plan 30hold 70ndash72 77ndash79

applying 78definition 9 77length 78reasons 77

host application 52 242ndash243content repository 52records declaration 243records functions 52records-related functions 52user accounts 53

host name 106host user 51 269

IIBM CommonStore 38 52 82 89IBM Content Manager 34 38 52 81 89 243 269

administrator user ID 121administrator user import 91automation level 47configuring IBM Records Manager 84detailed mappings 122Library Server 84 91Library Server database 86 91Library Server database name 118 121OnDemand 82Records Enabler 81 85 180Records Enabler application 248Records Enabler configuration client 123Records Enabler installation 91Records Enabler Server 86system 52user 52 90 121user ID 53

IBM Content Manager Library Serverdatabase 100database name 111 113database type 100DB schema name 100DB user name 100sys admin name 100

IBM Content Manager Records Enabler 90

IBM Records Manager 34 49ndash50 78ndash79 81 89 125 147 168 275

administrative task 53administrator client 84 114 218administrator client URL 117APIs 82 84application features 55auditing and monitoring 257capability 81component 83configuration 91custom attribute 244custom attribute field 244data 86database 83 91database supported 91database table 92database V411 90engine 83 90engine configuration 118engine installation 91enterprise content management applications 89features 58file plan 59 127 129function access rights 55functional link 243functions 84 91IBM Content Manager 85 180import users from Content Manager 121individual components 83installation 84 90PDF formatted output 266permission settings 60records disposition 70records scheduling 70report template 243resulting XSL 231retention rule 36 77search and reporting 217search facility 242search interface 76security 49Server Configuration window 123software 90supported database 84system 42 45 50ndash51 84 273terminology 141Tutorial Guide SC18-9886 230

Index 307

user accounts 51ndash52user function 53V411 database 90V413 database 91V413 installation 94V413 launchpad 3 90Web service 117XSL style sheet import 266

IBM Records Manager database 84IBM Records Manager Database (ID) 94IBM Records Manager database installation 94IBM Records Manager engine 106 115

host name 115implementation

methodology records management 12roadmap records management 15

inactive retention period 28installation

default values for IBM Records Manager data-base 94default values for IBM Records Manager engine 106default values for IBM Records Manager V413 database upgrade 99minimum versions and fix packs 92sample values for IBM Records Manager engine 106sample values for IBM Records Manager V411 database 94sample values for IBM Records Manager V413 database upgrade 99

integrity 4international narcotics traffickers 12interview guide 18Investment Advisors Act 11item type 181

JJDBC Driver

location 111job responsibility 54 65

Llegal consideration

records 8legal counsel 22legal discovery 7legal entity 25 126ndash127

legal holddefinition 9

life cycle 6 34 51 148individual phases 64record 6

life cycle code 149Life Cycle Management Operations function access right 55life cycle phase 149life cycle rule 149litigation 7local user 51Lotus Domino 34 52 82 89

Mmanual declaration

records 34maturity model

records management 14medium 28methodology

implement records management solution 12implementation records management 12

modelmaturity records management 14

Model Requirements for Managing Electronic Records (MoReq) 19monitoring 257MoReq 19

Nnarcotics traffickers 12NASD 11National Archives (TNA) 19National Association of Securities Dealers (NASD) 11national security goal 12

Oobjective matrix

records management 14Office of Foreign Assets Control (OFAC) 12Office of General Counsel 13operational efficiency 8optical disks 4Oraclereg 84organizational readiness 17

Outlook MAPI 93

PPDF 19PDF formatted output 266permission

description 59permissions 58 301

settings 60Pick List Management function access right 55Pick List function access right 300plan component 126planning

file plan 29retention schedule 23

Profile Design function access right 55 300PROV 20Public Record Office Victoria (PROV) 20Public Records Office (PRO) standard 19Purge Audit Entry function access right 56 300

Rrecord

auto declaration 34classification 35control company 5definition 4essential characteristics 4life cycle 6manual declaration 34

record host (RH) 300Record Host Management function access right 56record series 8 27

definition 8record type 42 50 59 79 184Records Administrator 24 30 36 40 50ndash51 103

classification 37records destruction 5 77records disposition 6

risk not performing 71records filing 25records inventory 25ndash26 29

conducting 25records management 3 5 23 50 70ndash71 83ndash84

accountability 8benefits 7central system 71critical tasks 23

defintion 5evolution 7general awareness 14implementation methodology 12implementation roadmap 15key factors 5key measurement areas 17key objectives 8maturity model 14methodology solution implementation 12

records management continuum 36records management policy 23records management procedures 24records management standard

US Department Defense 50152 19records manager 13 70records preservation 5records scheduling 71

definition 70 276records series code 28regulations

US examples 10regulatory requirement 7 11 22 44 70 148

understanding 24reliability 4Report Layout Manager function access right 56report layout function access right 56 224Report Query Management function access right 56requirements

business 22compliance and regulatory 22fiscal 22regulatory understanding 24

Reservation Management function access right 56retention 35retention period 4 9 22 50 69ndash70 148

active 28inactive 28official records 27usable form 23

retention policy 8retention rule 6 22ndash23 29 34ndash36 72 77 126 150 177 241retention schedule 13 21ndash22 50 55 72 76 83 126 147ndash148

creation 26example 27planning and creation 23

Index 309

suggested fields 27review

risknot performing records disposition 71

risk mitigation 8roadmap

records management implementation 15rule 2711 NASD 11rule 3010 NASD 11rule 3110 NASD 11rule 440 NYSE 11

Ssafeguard records 8sample values for installation

IBM Records Manager engine installation 106IBM Records Manager V411 database installa-tion 94IBM Records Manager V413 database upgrade 99

Sarbanes Oxley Act (SOX) 12search and reporting 217search result 219

output options 224PDF file 224

SEC Act of 1934 11section 17a 11security classification 56 65

access records 65Security Classification Exemption Management function access right 56 300Security Classification Guide Management function access right 56 300Security Classification Management function ac-cess right 56 300Security Classification Reason Management func-tion access right 56 300Security Descriptor Management function access right 56Security Management function access right 55 82 300Series title 27 144

meaningful description 144SGML 19SOX 12spoliation 76

definition 75SQL Server 84standard

Australian VERS 20storage media 4Sub series 131 149suspension

definition 78system component definition 126system configuration

system configuration (SC) 85 300System Configuration Management function ac-cess right 56

Ttape 4taxonomy 28technical requirements 19TIFF 19TNA 19trade confirms 4trade instructions 4traffickers 12transfer agents SEC Act of 1934 11

UUS Department of Defense (DoD) 19US Department of the Treasury 12US DoD 50152 70US foreign policy 12US military 19US regulations

examples 10UK standard

records management 19usability 4user group 50 54UsersGroups Management function access right 56

VVERS 20versions

minimum for installation 92Victoria state VERS 20

Victorian Electronic Records Standard (VERS) 20View All Audit Entries function access right 56vital record 8 28voice recording 4

WWeb Site Voice 25WebSphere Application

Server Administrative 117WebSphere Application Server

Administrative Console 110 117bin directory 120connection information 109deployment 109 117minimum version and fix packs requirements 92

WebSphere security 106

XXSL style sheet importing 266

Index 311

(05rdquo spine)0475rdquolt

-gt0875rdquo

250 lt-gt

459 pages

Working w

ith IBM Records M

anager

reg

SG24-7389-00 ISBN 0738489328

INTERNATIONAL TECHNICALSUPPORTORGANIZATION

BUILDING TECHNICALINFORMATION BASED ONPRACTICAL EXPERIENCE

IBM Redbooks are developed by the IBM International Technical Support Organization Experts from IBM Customers and Partners from around the world create timely technical information based on realistic scenarios Specific recommendations are provided to help you implement IT solutions more effectively in your environment

For more informationibmcomredbooks

Working with IBM Records ManagerFundamental records management concept

In a corporate environment documents are usually created or captured in a decentralized environment with no overall surveillance Many corporations have no formal process of retaining these documents as records which can increase storage costs In addition when litigation requests occur companies can spend a huge amount of money and resources to locate records In the case when a company is not able to locate records or to locate them on a timely manner the company is subjected to a financial penalty or more importantly damage to the companys reputation

IBM Records Manager is an application and an engine that provides records management capabilities to existing business applications It provides a single and consistent records management platform to help companies meet government and industry requirements for formal records management

This IBM Redbooks publication provides an introduction to records management and IBM Records Manager Solution architects designers and implementers who plan to implement IBM Records Manager will find this book useful It also serves as a guide for system administrators or records administrators in performing common records management administration tasks in IBM Records Manager Lastly the first part of this book serves as a good starting point for anyone who is interested in exploring the world of records management

Back cover

Go to the current abstract on ibmcomredbooks
Front cover
Contents
Notices
- Trademarks
- - Preface
  - - The team that wrote this book
    - Become a published author
    - Comments welcome
    - - Part 1 Basic concepts and IBM Records Manager product overview
      - Chapter 1 Records management
      - 11 What is a record
        
        
        
        
        
        
        17 Methodology to implement an enterprise-wide records management solution
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        23 File plan
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        34 Available options in IBM Document Manager
        
        
        
        
        
        
        
        
        
        
        
        Chapter 4 Security
        
        
        
        
        
        
        
        432 Permissions
        
        
        
        
        
        
        511 Disposition options
        
        
        52 Discovery
        
        
        522 Spoliation
        
        
        
        53 Hold
        
        
        532 Applying holds
        
        533 Hold length
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        71 Before you begin
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        101 Profiles
        
        
        
        
        
        
        
        111 Preparation
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        Part 3 Appendixes
        
        
        Function access names and abbreviations
        
        Permission names and their abbreviations
        
        
        IBM Redbooks
        
        Other publications
        
        Online resources
        
        How to get IBM Redbooks publications
        
        Help from IBM
        
        Index
        
        Back cover

Page 2: Working with IBM Records Manager - IBM Redbooks

July 2007

International Technical Support Organization

SG24-7389-00

Contents

Contents v

Index 305

Contents vii

Notices

COPYRIGHT LICENSE

Preface

Preface xiii

ibmcomredbooks

redbooksusibmcom

Preface xv

We also introduce

Part 1

1

11 What is a record

Act

ivity

TimeDestroy

Archive

Chain of Custody

Records Management

Author Controlled

A Document

Retain

A Record

Executing the plan

State Filings

State Statutes

StakeholderBuy-In

Level 1 - Initial

andMeasurable

Records M

anagement C

apability

Level 5 - Optimized

EnshrinePolicies

Pilot

MapBusiness

Strategy

EnterpriseRollout

Technology

Procedures

Policies

Stage 1

Stage 2

Stage 3

109

87

6

5

4

3

2

1

Security

Measurement

Training

Inventory

Dissemination

Preserve

User Awareness

Protection

Identity Management

Organization

Governance

Legal consideration

Data Management

Business Continuity

Storage

File Operations

File system

Indexing

Creation of Records

Surveillance

Classification

Disposition

5

55

56

58

7

4

3

Restore

2

Record series

Series title

Description

Office of record

Disposition

17cfr275204-2(e)(3) 5yrs

5 years Destroy

Destroy

Vital record

Citation

Disposition

Medium

Records series code

23 File plan

Inspections

Safety

Incidents

Finance

Budgets

Audits

Travel

Requests

Reports

Rule 1

Rule 3

Rule 1

Rule 5

Rule 8

Doc 1

Doc 2

Doc 3

Doc 4

Doc 5

Doc 6

Permanent

Active 2 YR

Closing + 1 YR

3 M

5 YR

7 YR

End of Life + 3 YR

Until Superceded

Annual Review

Retention Rule 10

Retention Rule 11

Retention Rule 12

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

3

Manual declaration

Auto declaration

Auto classification

performs

Folders

In Figure 3-2

ManualDeclaration

(CM CS DM)

AutoDeclaration

(CM CS DM)

Quick declare

Manual declare

Yes Yes Yes

Auto

By Property

By Selection

CompleteManual

Declaration

QuickDeclaration

(Auto)

CompleteManual

DeclarationAuto

Declaration

Auto declare

Manual declare

CompleteManual

DeclarationAuto

Declaration

Chapter 4 Security

4

Records Manager

Compliance Officer

Public

Administrators

Records Manager

Compliance Officer

Records Admin

N Y

Profile Design N Y

N Y

432 Permissions

N Y

Records Manager

Compliance Officer

Records Admin

Add Link Add a link

EMEAEMEA

BankBank

InsuranceInsurance

AmericasAmericas

(Add View)

(View)

(Add Delete View)

Bank View

Permission Owner

Bank View No Yes

View Yes(from Bank)

No Yes

Add Delete View

Add Update

5

52 Discovery

3 Evidence review

522 Spoliation

53 Hold

532 Applying holds

533 Hold length

6

Part 2

Manager

7

71 Before you begin

IBM DB2

IBM Content Manager

IBM Records Manager

V8304

Lotus Domino API

or Notes API V7

Lotus Notes

MS Exchange Server

MAPI

Database Type DB2

Sys Admin User Name

12Click Next

Sys Admin User Name

16Click Next

13Click Next

Click Next

Click OK

Click Next

8

Container component

Record component

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

Root

LegalEntity

Series

SubSeries

Document

Folder

6 Click Save

2 Click Views

4 Edit the view

5 Click Close

2 Click Views

4 Click Go

11Click Save

13Click Close

4 Make your changes

5 Click Save

6 Click Close

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

6 Click OK

2 Click Add

6 Click OK

To add Series

2 Click Add

5 Click OK

2 Click Add

5 Click OK

9

3 Click Add

6 Click Save

6 Click Close

9 Click Close

10Click Save again

5 Click Close

5 Click Save

7 Click Save

Profiles

Custom attributes

10

101 Profiles

5 Click OK

11Click Save

2 Click Profiles

6 Click Close

Citation and Time

9 Click Save

10Click Close

Follow these steps

5 Click Save

11

111 Preparation

16

32

Age Age Short

16

Staff Staff Data

Draft Report draft

6 Click Enable

7 Click Save

6 Click Search

9 Click Apply

c Click Declare

12Click Finish

11Click OK

12

i Click Browse

iii Click Add

4 Click Save

Enabling auditing

13

14

Destroy (expunge)

Review

Export

5 Select Start Now

6 Click Run

4 Click Run

4 Click Save

3 Select Audit

Part 3 Appendixes

Part 3

A

Audit Management AM

Audit Reporting AR

Browse File Plan FA

File Plan Design FD

Profile Design PD

Add A

Add Link AL

Add Partition AP

Charge Out CO

Delete D

Delete Link DL

Delete Partition DP

Dispose DP

Move M

Reservation RS

Suspend S

Update U

Un-suspend US

View V

IBM Global Services

Index

Aaccession

305

C2241 19DOMEA 19

Index 307

JJDBC Driver

Mmanual declaration

Oobjective matrix

Outlook MAPI 93

Rrecord

Index 309

VVERS 20versions

Index 311

-gt0875rdquo

250 lt-gt

459 pages

Working w

ith IBM Records M

anager

reg

SG24-7389-00 ISBN 0738489328

Back cover

Front cover
Contents
Notices
- Trademarks
- - Preface
    - Comments welcome
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        23 File plan
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        Chapter 4 Security
        
        
        
        
        
        
        
        432 Permissions
        
        
        
        
        
        
        
        
        52 Discovery
        
        
        522 Spoliation
        
        
        
        53 Hold
        
        
        532 Applying holds
        
        533 Hold length
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        71 Before you begin
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        101 Profiles
        
        
        
        
        
        
        
        111 Preparation
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        Part 3 Appendixes
        
        
        
        
        
        IBM Redbooks
        
        Other publications
        
        Online resources
        
        
        Help from IBM
        
        Index
        
        Back cover

Page 3: Working with IBM Records Manager - IBM Redbooks

Contents

Contents v

Index 305

Contents vii

Notices

COPYRIGHT LICENSE

Preface

Preface xiii

ibmcomredbooks

redbooksusibmcom

Preface xv

We also introduce

Part 1

1

11 What is a record

Act

ivity

TimeDestroy

Archive

Chain of Custody

Records Management

Author Controlled

A Document

Retain

A Record

Executing the plan

State Filings

State Statutes

StakeholderBuy-In

Level 1 - Initial

andMeasurable

Records M

anagement C

apability

Level 5 - Optimized

EnshrinePolicies

Pilot

MapBusiness

Strategy

EnterpriseRollout

Technology

Procedures

Policies

Stage 1

Stage 2

Stage 3

109

87

6

5

4

3

2

1

Security

Measurement

Training

Inventory

Dissemination

Preserve

User Awareness

Protection

Identity Management

Organization

Governance

Legal consideration

Data Management

Business Continuity

Storage

File Operations

File system

Indexing

Creation of Records

Surveillance

Classification

Disposition

5

55

56

58

7

4

3

Restore

2

Record series

Series title

Description

Office of record

Disposition

17cfr275204-2(e)(3) 5yrs

5 years Destroy

Destroy

Vital record

Citation

Disposition

Medium

Records series code

23 File plan

Inspections

Safety

Incidents

Finance

Budgets

Audits

Travel

Requests

Reports

Rule 1

Rule 3

Rule 1

Rule 5

Rule 8

Doc 1

Doc 2

Doc 3

Doc 4

Doc 5

Doc 6

Permanent

Active 2 YR

Closing + 1 YR

3 M

5 YR

7 YR

End of Life + 3 YR

Until Superceded

Annual Review

Retention Rule 10

Retention Rule 11

Retention Rule 12

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

3

Manual declaration

Auto declaration

Auto classification

performs

Folders

In Figure 3-2

ManualDeclaration

(CM CS DM)

AutoDeclaration

(CM CS DM)

Quick declare

Manual declare

Yes Yes Yes

Auto

By Property

By Selection

CompleteManual

Declaration

QuickDeclaration

(Auto)

CompleteManual

DeclarationAuto

Declaration

Auto declare

Manual declare

CompleteManual

DeclarationAuto

Declaration

Chapter 4 Security

4

Records Manager

Compliance Officer

Public

Administrators

Records Manager

Compliance Officer

Records Admin

N Y

Profile Design N Y

N Y

432 Permissions

N Y

Records Manager

Compliance Officer

Records Admin

Add Link Add a link

EMEAEMEA

BankBank

InsuranceInsurance

AmericasAmericas

(Add View)

(View)

(Add Delete View)

Bank View

Permission Owner

Bank View No Yes

View Yes(from Bank)

No Yes

Add Delete View

Add Update

5

52 Discovery

3 Evidence review

522 Spoliation

53 Hold

532 Applying holds

533 Hold length

6

Part 2

Manager

7

71 Before you begin

IBM DB2

IBM Content Manager

IBM Records Manager

V8304

Lotus Domino API

or Notes API V7

Lotus Notes

MS Exchange Server

MAPI

Database Type DB2

Sys Admin User Name

12Click Next

Sys Admin User Name

16Click Next

13Click Next

Click Next

Click OK

Click Next

8

Container component

Record component

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

Root

LegalEntity

Series

SubSeries

Document

Folder

6 Click Save

2 Click Views

4 Edit the view

5 Click Close

2 Click Views

4 Click Go

11Click Save

13Click Close

4 Make your changes

5 Click Save

6 Click Close

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

6 Click OK

2 Click Add

6 Click OK

To add Series

2 Click Add

5 Click OK

2 Click Add

5 Click OK

9

3 Click Add

6 Click Save

6 Click Close

9 Click Close

10Click Save again

5 Click Close

5 Click Save

7 Click Save

Profiles

Custom attributes

10

101 Profiles

5 Click OK

11Click Save

2 Click Profiles

6 Click Close

Citation and Time

9 Click Save

10Click Close

Follow these steps

5 Click Save

11

111 Preparation

16

32

Age Age Short

16

Staff Staff Data

Draft Report draft

6 Click Enable

7 Click Save

6 Click Search

9 Click Apply

c Click Declare

12Click Finish

11Click OK

12

i Click Browse

iii Click Add

4 Click Save

Enabling auditing

13

14

Destroy (expunge)

Review

Export

5 Select Start Now

6 Click Run

4 Click Run

4 Click Save

3 Select Audit

Part 3 Appendixes

Part 3

A

Audit Management AM

Audit Reporting AR

Browse File Plan FA

File Plan Design FD

Profile Design PD

Add A

Add Link AL

Add Partition AP

Charge Out CO

Delete D

Delete Link DL

Delete Partition DP

Dispose DP

Move M

Reservation RS

Suspend S

Update U

Un-suspend US

View V

IBM Global Services

Index

Aaccession

305

C2241 19DOMEA 19

Index 307

JJDBC Driver

Mmanual declaration

Oobjective matrix

Outlook MAPI 93

Rrecord

Index 309

VVERS 20versions

Index 311

-gt0875rdquo

250 lt-gt

459 pages

Working w

ith IBM Records M

anager

reg

SG24-7389-00 ISBN 0738489328

Back cover

Front cover
Contents
Notices
- Trademarks
- - Preface
    - Comments welcome
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        23 File plan
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        Chapter 4 Security
        
        
        
        
        
        
        
        432 Permissions
        
        
        
        
        
        
        
        
        52 Discovery
        
        
        522 Spoliation
        
        
        
        53 Hold
        
        
        532 Applying holds
        
        533 Hold length
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        71 Before you begin
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        101 Profiles
        
        
        
        
        
        
        
        111 Preparation
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        Part 3 Appendixes
        
        
        
        
        
        IBM Redbooks
        
        Other publications
        
        Online resources
        
        
        Help from IBM
        
        Index
        
        Back cover

Page 4: Working with IBM Records Manager - IBM Redbooks

Contents

Contents v

Index 305

Contents vii

Notices

COPYRIGHT LICENSE

Preface

Preface xiii

ibmcomredbooks

redbooksusibmcom

Preface xv

We also introduce

Part 1

1

11 What is a record

Act

ivity

TimeDestroy

Archive

Chain of Custody

Records Management

Author Controlled

A Document

Retain

A Record

Executing the plan

State Filings

State Statutes

StakeholderBuy-In

Level 1 - Initial

andMeasurable

Records M

anagement C

apability

Level 5 - Optimized

EnshrinePolicies

Pilot

MapBusiness

Strategy

EnterpriseRollout

Technology

Procedures

Policies

Stage 1

Stage 2

Stage 3

109

87

6

5

4

3

2

1

Security

Measurement

Training

Inventory

Dissemination

Preserve

User Awareness

Protection

Identity Management

Organization

Governance

Legal consideration

Data Management

Business Continuity

Storage

File Operations

File system

Indexing

Creation of Records

Surveillance

Classification

Disposition

5

55

56

58

7

4

3

Restore

2

Record series

Series title

Description

Office of record

Disposition

17cfr275204-2(e)(3) 5yrs

5 years Destroy

Destroy

Vital record

Citation

Disposition

Medium

Records series code

23 File plan

Inspections

Safety

Incidents

Finance

Budgets

Audits

Travel

Requests

Reports

Rule 1

Rule 3

Rule 1

Rule 5

Rule 8

Doc 1

Doc 2

Doc 3

Doc 4

Doc 5

Doc 6

Permanent

Active 2 YR

Closing + 1 YR

3 M

5 YR

7 YR

End of Life + 3 YR

Until Superceded

Annual Review

Retention Rule 10

Retention Rule 11

Retention Rule 12

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

3

Manual declaration

Auto declaration

Auto classification

performs

Folders

In Figure 3-2

ManualDeclaration

(CM CS DM)

AutoDeclaration

(CM CS DM)

Quick declare

Manual declare

Yes Yes Yes

Auto

By Property

By Selection

CompleteManual

Declaration

QuickDeclaration

(Auto)

CompleteManual

DeclarationAuto

Declaration

Auto declare

Manual declare

CompleteManual

DeclarationAuto

Declaration

Chapter 4 Security

4

Records Manager

Compliance Officer

Public

Administrators

Records Manager

Compliance Officer

Records Admin

N Y

Profile Design N Y

N Y

432 Permissions

N Y

Records Manager

Compliance Officer

Records Admin

Add Link Add a link

EMEAEMEA

BankBank

InsuranceInsurance

AmericasAmericas

(Add View)

(View)

(Add Delete View)

Bank View

Permission Owner

Bank View No Yes

View Yes(from Bank)

No Yes

Add Delete View

Add Update

5

52 Discovery

3 Evidence review

522 Spoliation

53 Hold

532 Applying holds

533 Hold length

6

Part 2

Manager

7

71 Before you begin

IBM DB2

IBM Content Manager

IBM Records Manager

V8304

Lotus Domino API

or Notes API V7

Lotus Notes

MS Exchange Server

MAPI

Database Type DB2

Sys Admin User Name

12Click Next

Sys Admin User Name

16Click Next

13Click Next

Click Next

Click OK

Click Next

8

Container component

Record component

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

Root

LegalEntity

Series

SubSeries

Document

Folder

6 Click Save

2 Click Views

4 Edit the view

5 Click Close

2 Click Views

4 Click Go

11Click Save

13Click Close

4 Make your changes

5 Click Save

6 Click Close

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

6 Click OK

2 Click Add

6 Click OK

To add Series

2 Click Add

5 Click OK

2 Click Add

5 Click OK

9

3 Click Add

6 Click Save

6 Click Close

9 Click Close

10Click Save again

5 Click Close

5 Click Save

7 Click Save

Profiles

Custom attributes

10

101 Profiles

5 Click OK

11Click Save

2 Click Profiles

6 Click Close

Citation and Time

9 Click Save

10Click Close

Follow these steps

5 Click Save

11

111 Preparation

16

32

Age Age Short

16

Staff Staff Data

Draft Report draft

6 Click Enable

7 Click Save

6 Click Search

9 Click Apply

c Click Declare

12Click Finish

11Click OK

12

i Click Browse

iii Click Add

4 Click Save

Enabling auditing

13

14

Destroy (expunge)

Review

Export

5 Select Start Now

6 Click Run

4 Click Run

4 Click Save

3 Select Audit

Part 3 Appendixes

Part 3

A

Audit Management AM

Audit Reporting AR

Browse File Plan FA

File Plan Design FD

Profile Design PD

Add A

Add Link AL

Add Partition AP

Charge Out CO

Delete D

Delete Link DL

Delete Partition DP

Dispose DP

Move M

Reservation RS

Suspend S

Update U

Un-suspend US

View V

IBM Global Services

Index

Aaccession

305

C2241 19DOMEA 19

Index 307

JJDBC Driver

Mmanual declaration

Oobjective matrix

Outlook MAPI 93

Rrecord

Index 309

VVERS 20versions

Index 311

-gt0875rdquo

250 lt-gt

459 pages

Working w

ith IBM Records M

anager

reg

SG24-7389-00 ISBN 0738489328

Back cover

Front cover
Contents
Notices
- Trademarks
- - Preface
    - Comments welcome
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        23 File plan
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        Chapter 4 Security
        
        
        
        
        
        
        
        432 Permissions
        
        
        
        
        
        
        
        
        52 Discovery
        
        
        522 Spoliation
        
        
        
        53 Hold
        
        
        532 Applying holds
        
        533 Hold length
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        71 Before you begin
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        101 Profiles
        
        
        
        
        
        
        
        111 Preparation
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        Part 3 Appendixes
        
        
        
        
        
        IBM Redbooks
        
        Other publications
        
        Online resources
        
        
        Help from IBM
        
        Index
        
        Back cover

Page 5: Working with IBM Records Manager - IBM Redbooks

Contents v

Index 305

Contents vii

Notices

COPYRIGHT LICENSE

Preface

Preface xiii

ibmcomredbooks

redbooksusibmcom

Preface xv

We also introduce

Part 1

1

11 What is a record

Act

ivity

TimeDestroy

Archive

Chain of Custody

Records Management

Author Controlled

A Document

Retain

A Record

Executing the plan

State Filings

State Statutes

StakeholderBuy-In

Level 1 - Initial

andMeasurable

Records M

anagement C

apability

Level 5 - Optimized

EnshrinePolicies

Pilot

MapBusiness

Strategy

EnterpriseRollout

Technology

Procedures

Policies

Stage 1

Stage 2

Stage 3

109

87

6

5

4

3

2

1

Security

Measurement

Training

Inventory

Dissemination

Preserve

User Awareness

Protection

Identity Management

Organization

Governance

Legal consideration

Data Management

Business Continuity

Storage

File Operations

File system

Indexing

Creation of Records

Surveillance

Classification

Disposition

5

55

56

58

7

4

3

Restore

2

Record series

Series title

Description

Office of record

Disposition

17cfr275204-2(e)(3) 5yrs

5 years Destroy

Destroy

Vital record

Citation

Disposition

Medium

Records series code

23 File plan

Inspections

Safety

Incidents

Finance

Budgets

Audits

Travel

Requests

Reports

Rule 1

Rule 3

Rule 1

Rule 5

Rule 8

Doc 1

Doc 2

Doc 3

Doc 4

Doc 5

Doc 6

Permanent

Active 2 YR

Closing + 1 YR

3 M

5 YR

7 YR

End of Life + 3 YR

Until Superceded

Annual Review

Retention Rule 10

Retention Rule 11

Retention Rule 12

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

3

Manual declaration

Auto declaration

Auto classification

performs

Folders

In Figure 3-2

ManualDeclaration

(CM CS DM)

AutoDeclaration

(CM CS DM)

Quick declare

Manual declare

Yes Yes Yes

Auto

By Property

By Selection

CompleteManual

Declaration

QuickDeclaration

(Auto)

CompleteManual

DeclarationAuto

Declaration

Auto declare

Manual declare

CompleteManual

DeclarationAuto

Declaration

Chapter 4 Security

4

Records Manager

Compliance Officer

Public

Administrators

Records Manager

Compliance Officer

Records Admin

N Y

Profile Design N Y

N Y

432 Permissions

N Y

Records Manager

Compliance Officer

Records Admin

Add Link Add a link

EMEAEMEA

BankBank

InsuranceInsurance

AmericasAmericas

(Add View)

(View)

(Add Delete View)

Bank View

Permission Owner

Bank View No Yes

View Yes(from Bank)

No Yes

Add Delete View

Add Update

5

52 Discovery

3 Evidence review

522 Spoliation

53 Hold

532 Applying holds

533 Hold length

6

Part 2

Manager

7

71 Before you begin

IBM DB2

IBM Content Manager

IBM Records Manager

V8304

Lotus Domino API

or Notes API V7

Lotus Notes

MS Exchange Server

MAPI

Database Type DB2

Sys Admin User Name

12Click Next

Sys Admin User Name

16Click Next

13Click Next

Click Next

Click OK

Click Next

8

Container component

Record component

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

Root

LegalEntity

Series

SubSeries

Document

Folder

6 Click Save

2 Click Views

4 Edit the view

5 Click Close

2 Click Views

4 Click Go

11Click Save

13Click Close

4 Make your changes

5 Click Save

6 Click Close

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

6 Click OK

2 Click Add

6 Click OK

To add Series

2 Click Add

5 Click OK

2 Click Add

5 Click OK

9

3 Click Add

6 Click Save

6 Click Close

9 Click Close

10Click Save again

5 Click Close

5 Click Save

7 Click Save

Profiles

Custom attributes

10

101 Profiles

5 Click OK

11Click Save

2 Click Profiles

6 Click Close

Citation and Time

9 Click Save

10Click Close

Follow these steps

5 Click Save

11

111 Preparation

16

32

Age Age Short

16

Staff Staff Data

Draft Report draft

6 Click Enable

7 Click Save

6 Click Search

9 Click Apply

c Click Declare

12Click Finish

11Click OK

12

i Click Browse

iii Click Add

4 Click Save

Enabling auditing

13

14

Destroy (expunge)

Review

Export

5 Select Start Now

6 Click Run

4 Click Run

4 Click Save

3 Select Audit

Part 3 Appendixes

Part 3

A

Audit Management AM

Audit Reporting AR

Browse File Plan FA

File Plan Design FD

Profile Design PD

Add A

Add Link AL

Add Partition AP

Charge Out CO

Delete D

Delete Link DL

Delete Partition DP

Dispose DP

Move M

Reservation RS

Suspend S

Update U

Un-suspend US

View V

IBM Global Services

Index

Aaccession

305

C2241 19DOMEA 19

Index 307

JJDBC Driver

Mmanual declaration

Oobjective matrix

Outlook MAPI 93

Rrecord

Index 309

VVERS 20versions

Index 311

-gt0875rdquo

250 lt-gt

459 pages

Working w

ith IBM Records M

anager

reg

SG24-7389-00 ISBN 0738489328

Back cover

Front cover
Contents
Notices
- Trademarks
- - Preface
    - Comments welcome
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        23 File plan
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        Chapter 4 Security
        
        
        
        
        
        
        
        432 Permissions
        
        
        
        
        
        
        
        
        52 Discovery
        
        
        522 Spoliation
        
        
        
        53 Hold
        
        
        532 Applying holds
        
        533 Hold length
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        71 Before you begin
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        101 Profiles
        
        
        
        
        
        
        
        111 Preparation
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        Part 3 Appendixes
        
        
        
        
        
        IBM Redbooks
        
        Other publications
        
        Online resources
        
        
        Help from IBM
        
        Index
        
        Back cover

Page 6: Working with IBM Records Manager - IBM Redbooks

Contents v

Index 305

Contents vii

Notices

COPYRIGHT LICENSE

Preface

Preface xiii

ibmcomredbooks

redbooksusibmcom

Preface xv

We also introduce

Part 1

1

11 What is a record

Act

ivity

TimeDestroy

Archive

Chain of Custody

Records Management

Author Controlled

A Document

Retain

A Record

Executing the plan

State Filings

State Statutes

StakeholderBuy-In

Level 1 - Initial

andMeasurable

Records M

anagement C

apability

Level 5 - Optimized

EnshrinePolicies

Pilot

MapBusiness

Strategy

EnterpriseRollout

Technology

Procedures

Policies

Stage 1

Stage 2

Stage 3

109

87

6

5

4

3

2

1

Security

Measurement

Training

Inventory

Dissemination

Preserve

User Awareness

Protection

Identity Management

Organization

Governance

Legal consideration

Data Management

Business Continuity

Storage

File Operations

File system

Indexing

Creation of Records

Surveillance

Classification

Disposition

5

55

56

58

7

4

3

Restore

2

Record series

Series title

Description

Office of record

Disposition

17cfr275204-2(e)(3) 5yrs

5 years Destroy

Destroy

Vital record

Citation

Disposition

Medium

Records series code

23 File plan

Inspections

Safety

Incidents

Finance

Budgets

Audits

Travel

Requests

Reports

Rule 1

Rule 3

Rule 1

Rule 5

Rule 8

Doc 1

Doc 2

Doc 3

Doc 4

Doc 5

Doc 6

Permanent

Active 2 YR

Closing + 1 YR

3 M

5 YR

7 YR

End of Life + 3 YR

Until Superceded

Annual Review

Retention Rule 10

Retention Rule 11

Retention Rule 12

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

3

Manual declaration

Auto declaration

Auto classification

performs

Folders

In Figure 3-2

ManualDeclaration

(CM CS DM)

AutoDeclaration

(CM CS DM)

Quick declare

Manual declare

Yes Yes Yes

Auto

By Property

By Selection

CompleteManual

Declaration

QuickDeclaration

(Auto)

CompleteManual

DeclarationAuto

Declaration

Auto declare

Manual declare

CompleteManual

DeclarationAuto

Declaration

Chapter 4 Security

4

Records Manager

Compliance Officer

Public

Administrators

Records Manager

Compliance Officer

Records Admin

N Y

Profile Design N Y

N Y

432 Permissions

N Y

Records Manager

Compliance Officer

Records Admin

Add Link Add a link

EMEAEMEA

BankBank

InsuranceInsurance

AmericasAmericas

(Add View)

(View)

(Add Delete View)

Bank View

Permission Owner

Bank View No Yes

View Yes(from Bank)

No Yes

Add Delete View

Add Update

5

52 Discovery

3 Evidence review

522 Spoliation

53 Hold

532 Applying holds

533 Hold length

6

Part 2

Manager

7

71 Before you begin

IBM DB2

IBM Content Manager

IBM Records Manager

V8304

Lotus Domino API

or Notes API V7

Lotus Notes

MS Exchange Server

MAPI

Database Type DB2

Sys Admin User Name

12Click Next

Sys Admin User Name

16Click Next

13Click Next

Click Next

Click OK

Click Next

8

Container component

Record component

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

Root

LegalEntity

Series

SubSeries

Document

Folder

6 Click Save

2 Click Views

4 Edit the view

5 Click Close

2 Click Views

4 Click Go

11Click Save

13Click Close

4 Make your changes

5 Click Save

6 Click Close

EMEAEMEA

BankBank

CorporateRecords

InsuranceInsurance

AmericasAmericas

6 Click OK

2 Click Add

6 Click OK

To add Series

2 Click Add

5 Click OK

2 Click Add

5 Click OK

9

3 Click Add

6 Click Save

6 Click Close

9 Click Close

10Click Save again

5 Click Close

5 Click Save

7 Click Save

Profiles

Custom attributes

10

101 Profiles

5 Click OK

11Click Save

2 Click Profiles

6 Click Close

Citation and Time

9 Click Save

10Click Close

Follow these steps

5 Click Save

11

111 Preparation

16

32

Age Age Short

16

Staff Staff Data

Draft Report draft

6 Click Enable

7 Click Save

6 Click Search

9 Click Apply

c Click Declare

12Click Finish

11Click OK

12

i Click Browse

iii Click Add

4 Click Save

Enabling auditing

13

14

Destroy (expunge)

Review

Export

5 Select Start Now

6 Click Run

4 Click Run

4 Click Save

3 Select Audit

Part 3 Appendixes

Part 3

A

Audit Management AM

Audit Reporting AR

Browse File Plan FA

File Plan Design FD

Profile Design PD

Add A

Add Link AL

Add Partition AP

Charge Out CO

Delete D

Delete Link DL

Delete Partition DP

Dispose DP

Move M

Reservation RS

Suspend S

Update U

Un-suspend US

View V

IBM Global Services

Index

Aaccession

305

C2241 19DOMEA 19

Index 307

JJDBC Driver

Mmanual declaration

Oobjective matrix

Outlook MAPI 93

Rrecord

Index 309

VVERS 20versions

Index 311

-gt0875rdquo

250 lt-gt

459 pages

Working w

ith IBM Records M

anager

reg

SG24-7389-00 ISBN 0738489328

Back cover

Front cover
Contents
Notices
- Trademarks
- - Preface
    - Comments welcome
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        23 File plan
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        Chapter 4 Security
        
        
        
        
        
        
        
        432 Permissions
        
        
        
        
        
        
        
        
        52 Discovery
        
        
        522 Spoliation
        
        
        
        53 Hold
        
        
        532 Applying holds
        
        533 Hold length
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        71 Before you begin
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        101 Profiles
        
        
        
        
        
        
        
        111 Preparation
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        
        Part 3 Appendixes
        
        
        
        
        
        IBM Redbooks
        
        Other publications
        
        Online resources
        
        
        Help from IBM
        
        Index
        
        Back cover

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