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Alfresco 3 Records Management

Book Description

Comply with regulations and secure your organization’s records with Alfresco Records Management.

  • Successfully implement your records program using Alfresco Records Management, fully certified for DoD-5015.2 compliance

  • The first and only book to focus exclusively on Alfresco Records Management

  • Step-by-step instructions describe how to identify records, organize records, and manage records to comply with regulatory requirements

  • Learn in detail about the software internals to get a jump-start on performing customizations

In Detail

The Alfresco Records Management feature set is so complete that it is one of the very limited number of systems, and the only Open Source solution, that has been fully certified for Records Management use by the US Department of Defense. Record keeping is important because accurate records are really the only way that organizations can demonstrate compliance with regulatory requirements. The amount of regulation that organizations must comply with has gone up dramatically over the last decade, and the complexity of record management has increased proportionally.

Alfresco 3 Records Management is a complete guide for setting up records programs within organizations. The book is the first and only one that describes Alfresco's implementation of Records Management. It not only teaches the technology for implementing Records Management, but also discusses the important roles that both processes and people play in the building of a successful records program.

Alfresco 3 Records Management starts with a description of the importance of record keeping, especially from a regulatory compliance perspective. It then discusses Records Management best practices and standards, and goes on to describe step by step how to identify documents that need to be managed as records, how to use Alfresco Records Management software to set up the File Plan structure for organizing the storage of records, and then how to manage the lifecycle of the records.

The book provides detailed instructions for installing and configuring Alfresco Records Management. The topics covered include setting up a record File Plan, filing records, establishing record retention schedules, setting up security and permissions, assigning metadata, extending the content model, using advanced search techniques, and creating system activity audit reports. The book also provides "deep-dive" information from a developer's perspective about how the Records Management module was implemented within the Alfresco Share platform.

Alfresco 3 Records Management covers features available in both the Community and Enterprise versions of Alfresco software. By the end of this book, you will be able to successfully develop a records policy and implement it within Alfresco Records Management.

A practical guide to designing, creating, and implementing a records program for your organization with DoD-5015.2 certified Alfresco Records Management

Table of Contents

  1. Alfresco 3 Records Management
    1. Alfresco 3 Records Management
    2. Credits
    3. About the Author
    4. About the Reviewer
    5. www.PacktPub.com
      1. Support files, e-books, discount offers and more
        1. Why Subscribe?
        2. Free Access for Packt account holders
    6. Preface
      1. What this book covers
      2. What you need for this book
      3. Who this book is for
      4. Conventions
      5. Reader feedback
      6. Customer support
        1. Errata
        2. Piracy
        3. Questions
    7. 1. Records Management
      1. What is a record?
        1. What is Records Management?
          1. Electronic Records Management
        2. Record lifecycles
        3. Benefits of Records Management
          1. Records Management is about complying with legal requirements
            1. Regulatory compliance
            2. Authority Documents and compliance
            3. E-discovery
          2. Records Management is about ensuring accountability
          3. Records Management is about preserving assets
          4. Records Management is about efficiency
          5. Records Management is about being prepared
          6. Records Management is about coming to grips with data volumes
          7. Records Management is about security
          8. Records Management is about good business
      2. Summary
    8. 2. Getting Started with the Alfresco Records Management Module
      1. The Alfresco stack
      2. Alfresco software
        1. Make sure the software versions are compatible
        2. Downloading the Alfresco software
          1. Alfresco Community
            1. Building from source code
            2. Download a Community version snapshot build
          2. Alfresco Enterprise
        3. Installing the base Alfresco software
          1. Running the installer
          2. Installing Alfresco Records Management modules manually
          3. Starting the Alfresco Repository and Share application
          4. Starting Alfresco Share
          5. Share dashlets
          6. Enabling the Records Management dashlet
          7. Adding the Records Management site
          8. Designating the Records Management administrator
      3. How does it work?
        1. The Records Management AMP Files
        2. The Records Management Console dashlet
          1. The flow of Alfresco webscripts
          2. The flow of the Records Management webscript dashlet
            1. The Records Management dashlet files
            2. The Records Management dashlet files in the MVC Pattern
            3. The Records Management descriptor file
            4. The Records Management dashlet controller
            5. The Records Management dashlet view
            6. The Records Management dashlet URL
            7. The Records Management console client-side JavaScript
            8. Creation of the Records Management site
        3. Web development within Share
      4. Summary
    9. 3. Introduction to the Alfresco Share Records Management Site
      1. The Share environment
        1. A brief history of Alfresco Share
          1. Alfresco Share as a social platform
          2. Alfresco Share and the Alfresco 3 Labs release
          3. Alfresco Share 3.X Post-Labs release
        2. Use cases for Alfresco Share
          1. Team project sites
          2. Publishing sites
          3. Personal sites
        3. Alfresco Share and collaboration
        4. Share dashboards
          1. Changing the dashboard layout
          2. Changing the placement of dashboard dashlets
          3. Changing site dashboards
        5. Site pages
          1. Configuring site page navigation
        6. Share themes
        7. Share collaboration
          1. Collaboration tools
          2. Project-based collaboration data
      2. The Records Management site
        1. The site dashboard
        2. The File Plan
          1. The File Plan toolbar
          2. Left navigation panel
        3. Records search
        4. Site members
          1. Administration of site members
      3. How does it work?
        1. Share configuration files
          1. Repository property files
          2. Customizing bean files
            1. Share bean configuration
              1. Client debug settings
              2. Available aspects list
              3. Available content types
              4. Access to the complete Alfresco repository from Share
            2. Records Management configuration
          3. Server log configuration file
        2. Dashboards
          1. Preset dashboard configurations
            1. Preset dashboard layout
            2. Preset dashboard dashlets
          2. Modifying the preset dashboard configurations
          3. Persistence of dashboard configurations
            1. Using the Node Browser to find persisted dashboard data
            2. AVM Store Share component nodes
            3. AVM Store Share page nodes
          4. Modifying existing user dashboards
          5. Programmatically accessing persisted dashboard data
        3. Creating a new Share theme
        4. Share site top navigation toolbar
          1. Share Site secondary navigation header bar
      4. Summary
    10. 4. Metadata and the Alfresco Content Model
      1. The Alfresco Content Model
        1. The model namespace
          1. Alfresco namespaces
        2. Types
        3. Properties
        4. Constraints
          1. Types of constraints
            1. REGEX constraint
            2. LENGTH constraint
            3. LIST constraint
            4. MINMAX constraint
        5. Associations
          1. Peer associations
          2. Child associations
        6. Aspects
      2. Creating a new model
        1. Designing the model
        2. Implementing the model file
          1. The model file header
          2. Model import files
          3. The model namespace
          4. The model constraints
          5. The model types
          6. The model aspects
        3. Installing the model
          1. Bootstrap deployment of the model
          2. Dynamic deployment of the content model
        4. Exposing a new content model from the Share user interface
          1. Adding Types to the site upload form
          2. Adding Types to the Change Type action
          3. Seeing the new Type applied to a content node
          4. Customizing the forms for viewing and editing the new model's metadata
      3. The Records Management Content Model
        1. The Records Model
          1. The Records Model header
          2. The Records Model imports
          3. The Records Model namespace
        2. The DoD 5015 Records Management Content Model
      4. Extending the Alfresco Content Model
      5. Summary
    11. 5. Creating the File Plan
      1. The File Plan — a definition
        1. Components of the File Plan
        2. Benefits of the File Plan
        3. Looking at the Alfresco example File Plan
      2. Best practice for creating the File Plan
        1. File Plans based on organizational hierarchy
        2. File Plans based on business processes and activities
        3. Best practice for File Plan design
      3. Creating the File Plan
        1. Adding containers to the File Plan
          1. Creating a Series
          2. Creating a Category
          3. Creating a Folder
      4. File Plan container metadata
      5. Copy and move of File Plan containers
      6. How does it work?
        1. How the File Plan page is set by the preset
        2. The File Plan, as extended from the Document Library
        3. The Document Library JavaScript controller file
          1. Getting the Location Type
            1. Getting the File Plan root node via a service call
          2. Setting doclibType in the model data
          3. Setting the root node in the model data
            1. Reading XML configuration data
        4. The Document Library FreeMarker presentation
          1. FreeMarker page layout for the File Plan
            1. Alfresco page components
            2. Components on the File Plan page
          2. The File Plan Document List
            1. The Document List controller file
              1. User preferences
              2. Actions
          3. The Document List Data Table
            1. Defining and rendering the Data Table
            2. Retrieving Content Object with an Alfresco Repository webscript
      7. Summary
    12. 6. Creating Disposition Schedules
      1. What is the disposition schedule?
        1. Disposition instructions
          1. The record lifecycle
            1. Cutoff
            2. Retention
            3. Destruction
            4. Transfer
            5. Accession
          2. Inheritance of the disposition
          3. Disposition example — application at the Folder level
          4. Disposition example — application at the record level
      2. Creating the disposition schedule
        1. The review
        2. The disposition schedule
          1. General information for the disposition
          2. The disposition steps
          3. Configuring a simple disposition schedule
          4. Time-based triggers
          5. Event-based triggers
          6. Trigger precedence
      3. Making changes to the disposition schedule
        1. Deleting steps of the disposition schedule
        2. Editing steps of the disposition schedule
      4. Importing and exporting File Plan data
        1. Importing a File Plan
        2. Exporting the File Plan
      5. How does it work?
        1. The Category details page
        2. The edit disposition instructions page
        3. The create disposition steps page
          1. Components of the disposition edit webscript
          2. Disposition edit client-side JavaScript
      6. Summary
    13. 7. Filing Records
      1. Filing — more than one way
      2. Filing an electronic record from Share
      3. Filing a non-electronic record from Share
      4. Filing from another Share site
      5. Filing a record from a CIFS mounted drive
        1. What is CIFS?
        2. Filing with CIFS
        3. Configuring CIFS
        4. Troubleshooting CIFS
          1. Checking to see whether the CIFS server is running
          2. Missing NetBIOS DLL
          3. Problems with ports
          4. CIFS server name is too long
          5. Conflicts with authentication settings
      6. Filing from an e-mail client with IMAP
        1. What is IMAP?
        2. Filing with an IMAP e-mail client
        3. Configuring IMAP
          1. Configuring IMAP to run on the server
          2. Configuring IMAP on e-mail clients
            1. IMAP configuration for Outlook 2007
      7. Filing to Alfresco via FTP
      8. Bulk import
        1. An unsupported add-on
        2. Bulk import and Records Management considerations
          1. Bulk import can't import disposition information
        3. Installing bulk import
        4. Simple interface to access bulk import
          1. Bulk import shadow files
          2. Auto-declaration of records
          3. Metadata and dates
          4. Running the tool
      9. Filing by scanning
        1. Identify which records to scan
        2. Metadata and classification
        3. Filing scanned images
      10. Other ways to file
      11. How does it work?
        1. Internals of electronic file upload
        2. Internals of non-electronic record filing
      12. Summary
    14. 8. Managing Records
      1. Records Details
        1. Alfresco Flash previewer
        2. Record Metadata
        3. Record actions
          1. Download action
          2. Edit Metadata
          3. Copy record
          4. Move record
          5. File record
          6. Delete record
          7. Audit log
        4. Links
        5. Events
        6. References
      2. How does it work?
        1. The Details page
          1. The JavaScript controller for the Details page
          2. The FreeMarker template for the Details page
            1. Included files for the Details page
            2. Initialize the RecordsDocumentDetails object
            3. FreeMarker components on the Details page
            4. The web preview component
              1. Web preview include files
              2. The web preview controller JavaScript
              3. The web preview FreeMarker template
              4. Client-side JavaScript
            5. The metadata component
            6. The events component
            7. The references component
      3. Summary
    15. 9. Following the Lifecycle of a Record
      1. Undeclared records
      2. Specifying mandatory metadata
      3. Declaring the record
      4. Record review
      5. Closing a Folder
      6. Cutoff
      7. Transfer
      8. Accession
      9. Destruction
      10. Audit log
      11. Hold or freeze
        1. Responding to a hold request
        2. Freezing records
        3. Locating records on hold
        4. Creating an export package of requested records and metadata
        5. Releasing the hold
      12. The File Plan report
      13. How does it work?
        1. The unique record ID
        2. Background jobs
          1. Review notifications
            1. Configuring the notification e-mail bean
            2. Configuring the e-mail notification cron schedule
            3. Configuring the contents of the notification e-mail
            4. Configuring outbound e-mails
            5. Manually checking for records requiring review
            6. Tracking the scheduler
          2. Lifecycle tracking
            1. Configuring the disposition lifecycle bean
            2. Configuring the lifecycle cron schedule
            3. Manually checking for lifecycle records
            4. Logging information for the lifecycle scheduler
        3. The File Plan component
          1. Linking to the transfer and hold pages
          2. Rendering transfer and hold Items
          3. Finding transfer items
          4. Finding hold items
        4. Transfer report
      14. Summary
    16. 10. Searching Records and Running Audits
      1. Search and Records Management
      2. Authorization and search
      3. Records Search page
        1. Single-field search form
        2. The Search form
          1. Basic search
          2. Property search
          3. Date search
          4. Search filters
          5. Restricted File Plan search
          6. Search result columns
          7. Result list search order
          8. Clearing the search criteria
          9. The Results tab
          10. Syntax errors
      4. FTS-Alfresco query language
        1. Searching for a term
        2. Searching for a phrase
        3. Wildcard search
        4. Conjunctive search
        5. Disjunctive search
        6. Negation
        7. Properties
        8. Special fields
          1. Escaping QNames
          2. Escaping characters not in a QName
        9. Grouping
        10. Boolean
        11. Dates
        12. Ranges
        13. Proximity searches
        14. Mandatory elements
        15. Optional elements
        16. Operator precedence
      5. Example searches
      6. Saved searches
        1. Creating a saved search
        2. Editing a saved search
        3. Deleting a saved search
      7. Records Management audits
        1. Purpose of the records audit
        2. Planning for the audit
        3. Things to look for in the audit
        4. Deliverables from the records audit
      8. The Audit tool
        1. Accessing the Audit tool
        2. Using the Audit tool
          1. Running an Audit report
          2. Filtering the report by event
          3. Filtering the report by property
          4. Filtering the report by user
          5. Filtering the report by date
          6. Audit log viewing options
          7. Viewing the full log
          8. Filing the Audit log report
          9. Export the Audit log report
          10. Stopping, starting, and clearing the Audit log
      9. How does it work?
        1. The Records Search page
        2. DataSource and data webscript
        3. Saved searches
        4. Custom properties
        5. The Audit tool
      10. Summary
    17. 11. Configuring Security and Permissions
      1. Creating users
        1. Adding a new Share user
        2. New user access to Share
        3. User admin
      2. Groups and Records Management
        1. Browsing groups
        2. Adding a new group
        3. Deleting a group
        4. Editing groups
        5. Adding members to a group
      3. Member access to the Records Management site
        1. Subscribing to the Records Management site
        2. Requesting access to the moderated Records Management site
        3. Access to a private Records Management site
      4. Creating Records Management roles
        1. Roles and permissions
        2. Access controls applied to the File Plan
        3. Viewing and editing the Records Management roles
          1. Browsing role permissions
          2. Editing role permissions
          3. Creating a new role
          4. Deleting a role
      5. Read and file permissions
      6. The User Rights Report
      7. How does it work?
        1. Admin console — users
        2. Users in the repository
          1. Users as usr:users
          2. Users as cm:persons
        3. Access to roles via webscripts
        4. Permissions
      8. Summary
    18. 12. Configuring Records Management Parameters
      1. The Records Management Console
      2. List of Values
        1. Supplemental Markings
        2. Transfer Locations
        3. Creating a new List of Values
        4. Deleting the List of Values
      3. Custom Metadata
        1. E-mail Mappings
          1. E-mail metadata
          2. Creating an e-mail mapping
        2. Events
        3. Relationships
      4. How does it work?
        1. The Management Console page
        2. Rendering of Management Console tools
        3. The Console page layout
      5. The tools navigation region
      6. Custom Records Management metadata
        1. Custom Records Management namespace
        2. Custom aspects for record objects
        3. List of Values
        4. Events
        5. WebScript calls for Management Console information
      7. Summary