book

Using IBM Enterprise Records

Name: Using IBM Enterprise Records
ISBN: 9780738440712

by Whei-Jen Chen, Serena S Chan, Jean-Marc Costecalde, Yolanda H Yates, Harry Yessayan

May 2015

Intermediate to advanced

434 pages

9h 17m

English

IBM Redbooks

Read now

Unlock full access

Front cover
Notices
Trademarks
IBM Redbooks promotions
Preface
AuthorsNow you can become a published author, tooComments welcomeStay connected to IBM Redbooks
Summary of changes
May 2015, Second Edition
Part 1 Concept
Chapter 1. Records management
1.1 What constitutes a record1.2 What records management involves1.3 The business challenge: Information lifecycle governance1.4 The importance of records management1.5 Legal, regulations, compliance, and investigations1.5.1 Addressing regulatory requirements1.5.2 Investigations1.6 Planning an information lifecycle governance program1.6.1 Obtaining corporate sponsorship and stakeholder buy-in1.7 Records management maturity model1.7.1 Using an objective records management maturity model1.8 Organizational readiness1.9 Records management system technical standards and guidelines1.10 Role of IBM Enterprise Records within the IBM Information Lifecycle Governance portfolio1.10.1 Policy management relationship to IBM Enterprise Records1.10.2 Syndicating global retention and schedule management policies to Enterprise Records
Chapter 2. IBM Enterprise Records system and architecture
2.1 Overview of IBM Enterprise Records2.1.1 Key business benefits of IBM Enterprise Records2.1.2 Software highlights and capabilities2.1.3 Working with IBM Enterprise Records2.2 System architecture2.2.1 Enterprise Records for IBM Content Foundation2.2.2 Relationship between content and records2.3 Data model, workflow, and security2.3.1 IBM Enterprise Records data model2.3.2 IBM Enterprise Records workflows2.3.3 IBM Enterprise Records security and roles2.4 Logging2.5 User and administrative applications2.5.1 IBM Content Navigator2.5.2 IBM Enterprise Records interface2.5.3 Disposition process2.5.4 Hold process2.5.5 IBM Administration Console for Content Engine2.5.6 File Plan Import Export Tool2.6 APIs and the Component Integrator2.6.1 IBM Enterprise Records and Bulk Declaration Services2.6.2 IBM Enterprise Records Component Integrator2.7 Reporting2.8 References
Chapter 3. Retention and file plans
3.1 Retention schedule3.2 Retention schedule planning and creation3.2.1 Develop a records management policy3.2.2 Specify records management procedures3.2.3 Record and update regulatory requirements3.2.4 Conduct a records inventory3.2.5 Define records series3.2.6 Create a regulatory matrix3.2.7 Creating the retention schedule3.3 File plan3.4 File plan planning and creation3.5 File plan in IBM Enterprise Records3.5.1 File plan elements3.5.2 Attributes of containers and records3.6 Case study: File plans in IBM Enterprise Records
Chapter 4. Security
4.1 Security model overview4.2 Records management roles and security4.2.1 Four standard roles4.2.2 Roles and access levels4.2.3 Mapping roles to security groups4.3 Determining the security model4.3.1 Security proxy types4.3.2 Containers as security parents4.3.3 Controlling security by full proxy4.3.4 Relating file plan structure to access control4.3.5 Access control that differs from the file plan structure4.4 Individual record security4.4.1 Marking sets4.4.2 Direct security4.4.3 Comparing approaches4.5 Security and record holds4.6 Limiting functional access4.6.1 Limiting access to a desktop4.6.2 Limiting access to features4.6.3 Limiting access to specific functions within a view4.7 Separating records into multiple repositories

Chapter 5. Records capture, creation, and retrieval
5.1 Why automation is the goal5.1.1 Successfully automating record creation and capture5.1.2 The complexities of manual record creation and capture5.1.3 Overview of content ingestion and declaration5.2 Record capture5.2.1 Document and record classes5.2.2 Manual declaration5.3 Manual record creation and capture5.3.1 Document entry templates5.3.2 Record entry templates5.3.3 Record classification considerations5.3.4 Primary mechanism for manual ingestion and declaration5.3.5 Working with document versions5.4 Performance considerations
Chapter 6. Records disposition and basic schedules
6.1 Introduction to records disposition6.1.1 Importance of records disposition6.2 Implementing records disposition policies6.2.1 Basic disposition6.2.2 Advanced disposition6.2.3 Scheduling and monitoring disposition sweeps6.2.4 Completing the disposition process6.3 Basic disposition schedules6.3.1 Characteristics of basic disposition schedules6.3.2 Creating a basic disposition schedule6.3.3 Converting a record category to a basic schedule6.3.4 Basic disposition sweep and processing6.3.5 Example use cases for basic disposition sweep6.3.6 Controlling how records are grouped for disposition
Chapter 7. Advanced disposition
7.1 Advanced disposition schedules7.1.1 Disposition schedule7.1.2 Disposal triggers7.1.3 Cutoff7.1.4 Disposition phases and actions7.1.5 Disposition workflows7.1.6 Alternate retention7.1.7 Assigning disposition schedules to the file plan7.1.8 Record types7.2 Advanced disposition sweep7.2.1 Advanced disposition sweep for disposition processing7.2.2 Setting an advanced disposition sweep to run from the desktop7.2.3 Running an advanced disposition sweep from the desktop7.3 Initiating and completing disposition7.3.1 Initiating disposition manually7.3.2 Initiating a disposition by scheduling a sweep7.3.3 Strategies for initiating disposition7.3.4 Disposition processing in batches7.3.5 Completing the disposition process7.4 Automatic destruction using Auto Destroy7.4.1 When to use Auto Destroy7.4.2 Running Auto Destroy from the desktop7.5 Running a sweep from the command line7.5.1 Configuring an advanced disposition sweep7.5.2 Deployment and scheduling considerations7.6 Performance considerations7.7 Converting advanced schedules to basic schedules
Chapter 8. Holds and preservation
8.1 Definition of hold8.2 Hold processing in IBM Enterprise Records8.2.1 Audit and legal holds8.2.2 Manual holds8.2.3 Dynamic holds8.2.4 Multiple holds8.2.5 Applying holds8.2.6 Removing holds8.2.7 Running Hold Sweep8.2.8 Inheritance of holds8.2.9 Disposal trigger aggregation level effect on holds in advanced dispositions8.3 Performance considerations
Chapter 9. Audit requirements
9.1 Introduction to audits9.1.1 Compliance audits9.1.2 Evidential weight9.2 Audits of an IBM Enterprise Records system9.3 Accessing the audit log9.3.1 Accessing audit information from IBM Enterprise Records9.3.2 Accessing audit information with the Content Platform Engine9.4 Reporting by using the audit data9.5 Pruning the audit log
Chapter 10. Reporting
10.1 Reporting capabilities and considerations10.2 Running IBM Cognos reports10.2.1 Configuration10.2.2 Predefined reports10.2.3 Running reports from IBM Cognos10.2.4 Adding a new Cognos report10.3 Running reports from Crystal Reports10.3.1 Configuration10.3.2 Predefined reports
Chapter 11. Physical records
11.1 Overview of physical records management11.2 Enterprise Records physical records capabilities11.2.1 Containers: Boxes11.2.2 Containers: Physical and hybrid folders and folder volumes11.2.3 Bar codes11.2.4 Searching11.2.5 Reporting11.2.6 Auditing11.3 Tracking physical records11.3.1 Workflow subscriptions for physical records management11.3.2 Accessing physical records11.3.3 Locations, reservations, and charge outs
Chapter 12. IBM Enterprise Records Java APIs
12.1 Introduction to IBM Enterprise Records APIs12.2 Java API for Records Manager12.3 Records Manager API12.4 Bulk Declaration Service12.5 Performance considerations
Chapter 13. IBM Enterprise Records for IBM Content Manager
13.1 Presentation13.2 Architecture13.3 Difference with Content Federation Services13.4 Java for Records Manager
Part 2 Implementation case studies
Chapter 14. File plan case study
14.1 Types of object stores14.1.1 File plan object store14.1.2 Record-enabled object store14.2 File plan case study introduction14.3 Creating a file plan in IBM Enterprise Records14.3.1 Create a new file plan14.3.2 Browse the file plan14.3.3 Populate the file plan
Chapter 15. Basic disposition case study
15.1 Create a new record category with a basic disposition schedule15.2 Schedule a basic disposition sweep for report only15.2.1 Schedule the sweep15.2.2 View the sweep results15.3 Schedule a basic disposition sweep for immediate destruction15.3.1 Schedule the sweep15.3.2 View the sweep results15.3.3 Verify the destroy results15.4 Schedule a basic disposition sweep for approval before destruction15.4.1 Schedule the sweep15.4.2 View the sweep results15.4.3 Approve the records for destruction15.4.4 Verify the destroy results
Chapter 16. Advanced disposition case study
16.1 Configure advanced disposition for approval before destruction16.1.1 Add a Destroy action16.1.2 Add an internal event trigger16.1.3 Add an advanced disposition schedule16.1.4 Assign a disposition schedule to a record category16.2 Schedule and complete advanced disposition16.2.1 Schedule the advanced disposition sweep16.2.2 Monitor and verify the sweep results16.2.3 Initiate disposition by running a sweep16.2.4 Complete the Destroy workflow process16.3 Configure advanced disposition for automatic destruction16.3.1 Add the Auto Destroy action16.3.2 Add the internal event trigger16.3.3 Assign the disposition schedule to the record category16.3.4 Assign the schedule to the correct record category16.4 Schedule and complete advanced disposition for Auto Destroy16.4.1 Schedule the advanced disposition sweep16.4.2 Schedule Auto Destroy16.5 Convert a record category to a basic schedule16.5.1 Identify an eligible record category16.5.2 Schedule the container conversion
Chapter 17. Records hold case study
17.1 Case study hold scenarios17.2 Creating a hold17.3 Manually placing and removing holds17.3.1 Manually placing an entity on hold17.3.2 Removing a hold17.4 Dynamic holds and Hold Sweep17.4.1 Launching Hold Sweep as a batch process17.4.2 Launching Hold Sweep with Content Navigator Task Manager17.4.3 Hold status changes17.4.4 Verifying the records that are placed on hold17.4.5 Removing dynamic holds using Hold Sweep
Chapter 18. IBM Java API for Records Manager case study
18.1 Description of the use cases18.1.1 Content Engine class and properties setup18.1.2 Use Case 1 walk-through18.1.3 Use Case 2 walk-through18.2 Record populating batch sample code18.3 Event handler for record maintenance sample code18.3.1 Update the existing AutoSyncProperties.java file
Related publications
IBM RedbooksOnline resourcesHelp from IBM
Back cover

Overview

Records management helps users address evolving governance mandates to meet regulatory, legal, and fiduciary requirements. Proactive adherence to information retention policies and procedures is a critical facet of any compliance strategy. IBM® Enterprise Records helps organizations enforce centralized policy management for file plans, retention schedules, legal preservation holds, and auditing. IBM Enterprise Records enables your organization to securely capture, declare, classify, store, and dispose of electronic and physical records.

In this IBM Redbooks® publication, we introduce the records management concept and provide an overview of IBM Enterprise Records. We address records management topics, including the retention schedule, file plan, records ingestion and declaration, records disposition, records hold, and Enterprise Records application programming interfaces (APIs). We also use a case study to describe step-by-step instructions to implement a sample records management solution using Enterprise Records. We provide concrete examples of how to perform tasks, such as file plan creation, records ingestion and declaration, records disposition, and records hold.

This book helps you to understand the records management concept, the IBM Enterprise Records features and capabilities, and its use.

Become an O’Reilly member and get unlimited access to this title plus top books and audiobooks from O’Reilly and nearly 200 top publishers, thousands of courses curated by job role, 150+ live events each month,
and much more.

Read now

Unlock full access

More than 5,000 organizations count on O’Reilly

O’Reilly covers everything we've got, with content to help us build a world-class technology community, upgrade the capabilities and competencies of our teams, and improve overall team performance as well as their engagement.

Julian F.

Head of Cybersecurity

I wanted to learn C and C++, but it didn't click for me until I picked up an O'Reilly book. When I went on the O’Reilly platform, I was astonished to find all the books there, plus live events and sandboxes so you could play around with the technology.

Addison B.

Field Engineer

I’ve been on the O’Reilly platform for more than eight years. I use a couple of learning platforms, but I'm on O'Reilly more than anybody else. When you're there, you start learning. I'm never disappointed.

Amir M.

Data Platform Tech Lead

I'm always learning. So when I got on to O'Reilly, I was like a kid in a candy store. There are playlists. There are answers. There's on-demand training. It's worth its weight in gold, in terms of what it allows me to do.

Mark W.

Embedded Software Engineer

Publisher Resources

ISBN: 9780738440712Purchase book

Cloud Computing

Data Engineering

Data Science

AI & ML

Programming Languages

Software Architecture

IT/Ops

Security

Design

Business

Soft Skills