Working with IBM Records Manager

Working with IBM Records Manager

by Wei-Dong Zhu, Serena S Chan, Gunther Flaig, Yi Wang, Keith Wheeler, R. Hogg, Yolanda Yates
Released August 2007
Publisher(s): IBM Redbooks
ISBN: None

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Book description

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 company's 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.

Table of contents

  1. Notices
    1. Trademarks
  2. Preface
    1. The team that wrote this book
    2. Become a published author
    3. Comments welcome
  3. Part 1: Basic concepts and IBM Records Manager product overview
  4. Chapter 1: Records management
    1. 1.1: What is a record
    2. 1.2: What is records management
    3. 1.3: Evolution of records management
    4. 1.4: The importance of records management
    5. 1.5: Legal consideration
    6. 1.6: Addressing regulatory requirements
    7. 1.7: Methodology to implement an enterprise-wide records management solution
      1. Obtaining corporate sponsorship and stakeholder buy-in
      2. Assessing and evaluating the current policies and procedures
      3. Gathering business and technical requirements
      4. Engineering business process and deploying technology
      5. Reviewing and monitoring the processes
  5. Chapter 2: Retention schedule and a file plan
    1. 2.1: Retention schedule
    2. 2.2: Retention schedule planning and creation
      1. Understanding company’s records management policy
      2. Understanding company’s records management procedures
      3. Understanding regulatory requirements
      4. Conducting records inventory
      5. Creating the retention schedule
    3. 2.3: File plan
    4. 2.4: File plan planning and creation
  6. Chapter 3: Declaration and classification
    1. 3.1: Declaration and classification
    2. 3.2: Design and planning
      1. Auto classification design consideration
      2. Manual declaration and classification design consideration
      3. Semi-auto declaration and classification options
    3. 3.3: Planning considerations
      1. How documents are declared and classified
      2. When documents are declared and classified
      3. What happened to the declared documents
      4. Can the original owners of the documents view the records
      5. How are records retrieved or located
      6. Declare a document as multiple records
      7. Declare multiple documents as a single record (IBM Content Manager and IBM Document Manager only)
      8. Version management (IBM Document Manager only)
    4. 3.4: Available options in IBM Document Manager
      1. Manual declaration
      2. Quick declaration
    5. 3.5: Available options in IBM CommonStore solutions
      1. Declaration modes with single and multiple selections
      2. Manual and auto classification
      3. Dragging and dropping to folders for record declaration
      4. Sending and declaring e-mail messages
    6. 3.6: Available options in IBM Content Manager
      1. Manual and auto declaration
      2. Manual and auto classification
  7. Chapter 4: Security
    1. 4.1: Authentication and authorization
    2. 4.2: Users and user groups
      1. Local and host users
      2. Local and host groups
    3. 4.3: Function access rights and permissions
      1. Function access rights
      2. Permissions
      3. Permission levels and inheritance
    4. 4.4: Restrictions on permissions
    5. 4.5: Sample user roles and job responsibilities
  8. Chapter 5: Disposition, discovery, and hold
    1. 5.1: Records disposition
      1. Disposition options
      2. Records scheduling and IBM Records Manager
    2. 5.2: Discovery
      1. Discovery process
      2. Spoliation
      3. Security considerations
      4. The role of IBM Records Manager
    3. 5.3: Hold
      1. Reasons for using holds on records
      2. Applying holds
      3. Hold length
  9. Chapter 6: IBM Records Manager system components
    1. 6.1: Overview of IBM Records Manager
    2. 6.2: IBM Records Manager components
      1. IBM Records Manager engine
      2. IBM Records Manager database
      3. IBM Records Manager application programming interfaces
      4. IBM Records Manager administration client
    3. 6.3: IBM Content Manager Records Enabler
      1. IBM Content Manager Records Enabler Server
      2. IBM Content Manager Records Enabler Host Interface Application Server
      3. Changes in IBM Records Manager Version 4.1.3
  10. Part 2: Solution implementation
  11. Chapter 7: Product and solution installation
    1. 7.1: Before you begin
    2. 7.2: Installation process overview
      1. Installation options
      2. Version and fix packs checklist
    3. 7.3: Installing IBM Records Manager
      1. Installing IBM Records Manager V4.1.1 database
      2. Upgrading IBM Records Manager V4.1.1 database to V4.1.3 (1/2)
      3. Upgrading IBM Records Manager V4.1.1 database to V4.1.3 (2/2)
      4. Installing IBM Records Manager V4.1.3 engine (1/2)
      5. Installing IBM Records Manager V4.1.3 engine (2/2)
      6. Configuring IBM Records Manager engine
    4. 7.4: Installing IBM Content Manager Records Enabler (1/2)
    5. 7.4: Installing IBM Content Manager Records Enabler (2/2)
    6. 7.5: Importing IBM Content Manager administration user ID to IBM Records Manager
    7. 7.6: Configuring the relation between IBM Content Manager and IBM Records Manager
      1. Required information during the configuration
  12. Chapter 8: File plan creation
    1. 8.1: Overview of a file plan
      1. File plan components
    2. 8.2: Creating a file plan using IBM Records Manager
      1. Creating a file plan view
      2. Defining file plan components (component definitions)
      3. Defining component relationships (1/2)
      4. Defining component relationships (2/2)
      5. Building the file plan
      6. Adding additional file components: Sub Series
  13. Chapter 9: Retention schedule creation
    1. 9.1: Overview of a retention schedule
      1. Life cycle and life cycle code
    2. 9.2: Creating a retention schedule
      1. Creating a life cycle phase
      2. Creating a life cycle code
      3. Defining life cycle dates (1/2)
      4. Defining life cycle dates (2/2)
    3. 9.3: Applying retention rules to file plan components
  14. Chapter 10: Profiles and custom attributes
    1. 10.1: Profiles
      1. Creating a profile
      2. Assigning a profile
    2. 10.2: Custom attributes
      1. Creating a custom attribute
      2. Configuring column display and populate data
  15. Chapter 11: Declaration and classification configuration
    1. 11.1: Preparation
      1. IBM Document Manager configuration
      2. IBM Records Manager configuration
      3. IBM Content Manager Records Enabler configuration
    2. 11.2: Configuring auto declaration and classification rules
      1. Configuring auto declaration and classification in IBM Content Manager Records Enabler
      2. Configuring auto declaration and classification in IBM Document Manager
      3. Testing auto declaration and classification
    3. 11.3: Configuring semi-auto declaration and classification rules
      1. Solution 1: IBM Document Manager quick declaration and classification
      2. Solution 2: IBM Document Manager manual declaration and IBM Records Manager auto classification tool (1/2)
      3. Solution 2: IBM Document Manager manual declaration and IBM Records Manager auto classification tool (2/2)
    4. 11.4: Declaring records in IBM Records Manager
  16. Chapter 12: Search and reporting
    1. 12.1: Searching in IBM Records Manager
    2. 12.2: Creating custom searches (including reports)
      1. Searching for records by records declaration date (1/3)
      2. Searching for records by records declaration date (2/3)
      3. Searching for records by records declaration date (3/3)
      4. Searching for records placed on hold by hold reasons (1/3)
      5. Searching for records placed on hold by hold reasons (2/3)
      6. Searching for records placed on hold by hold reasons (3/3)
    3. 12.3: Search hints and tips
      1. Available search fields based on a specific search type
      2. Searching and reporting on fields that are not available
      3. XML and stylesheet design skills
    4. 12.4: Mapping new fields to IBM Records Manager database
    5. 12.5: Additional sample reports
  17. Chapter 13: Auditing and monitoring
    1. 13.1: Overview of auditing
    2. 13.2: Enabling auditing
    3. 13.3: Sample audit entries
      1. Auditing add events
      2. Auditing entries by user (1/2)
      3. Auditing entries by user (2/2)
    4. 13.4: Monitoring your records
  18. Chapter 14: Records disposition
    1. 14.1: Overview of disposition
      1. Disposition options
    2. 14.2: Disposing records using IBM Records Manager
      1. Getting eligible candidates for records disposal (1/2)
      2. Getting eligible candidates for records disposal (2/2)
      3. Narrowing the records to be disposed
      4. Disposing records
      5. Verifying disposed records through auditing
  19. Part 3: Appendixes
  20. Appendix A: Function access names, permissions, and their abbreviations
    1. Function access names and abbreviations
    2. Permission names and their abbreviations
  21. Related publications
    1. IBM Redbooks
    2. Other publications
    3. Online resources
    4. How to get IBM Redbooks publications
    5. Help from IBM
  22. Index (1/3)
  23. Index (2/3)
  24. Index (3/3)
  25. Back cover

Product information

  • Title: Working with IBM Records Manager
  • Author(s): Wei-Dong Zhu, Serena S Chan, Gunther Flaig, Yi Wang, Keith Wheeler, R. Hogg, Yolanda Yates
  • Release date: August 2007
  • Publisher(s): IBM Redbooks
  • ISBN: None