File plan case study
In this chapter, we describe the steps required to create a file plan in
IBM Enterprise Records.
IBM Enterprise Records.
We cover the following topics:
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Note: This chapter does not provide the details of installing Enterprise Records or the details of performing the standard Content Platform Engine functions, such as creating object stores and defining document classes. For these instructions, see the software’s online help, ecm_help.
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14.1 Types of object stores
For Enterprise Records, a record is stored as metadata. Metadata is data about data. It’s a file that references and contains information about another electronic file (document) or physical object.
•Electronic files
An electronic file or document might be a single file, a digital photo, or a set of related files that can be treated as one object. For example, a set of files is an email message and its attachments. Electronic files exist in object stores and other repositories. When you declare the document as a record, Enterprise Records manages the document, including its security and possible classification. This security setting can change the access to the document. Therefore, the author of the document can be prevented from changing the document.
•Physical objects
Physical objects might be audio tapes, video tapes, microfilm, hard disks, DNA samples, printed paper documents, and photos. They might be stored in boxes or file cabinets inside warehouses and other secure archival facilities. The record tracks the location of the physical object.
For Enterprise Records configuration, there are two types of object stores, which we describe in the subtopics that follow:
•File plan object store (FPOS)
•Record-enabled object store (ROS)
14.1.1 File plan object store
Objects that are declared as records are stored in a repository that is called a file plan object store.
The file plan object store (FPOS) serves as the object store for the file plan, records categories, disposition schedules, and all other business objects that are required to manage records. When documents in the ROS (see next type) are declared as records, the record-related information (metadata) is stored as a separate record object in the FPOS.
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Terminology: A file plan object store contains a file plan, which is a hierarchy of record management objects that are needed to classify records.
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14.1.2 Record-enabled object store
A repository that contains documents that can be declared as records is called a records repository or record-enabled object store.
The record-enabled object store (ROS) serves as the content repository for electronic documents. Documents stored in an ROS can be declared as records.
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Terminology: A record-enabled object store contains documents that you can declare as records.
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14.2 File plan case study introduction
Our case study is based on the fictitious global financial institution XYZ that we introduced in 3.6, “Case study: File plans in IBM Enterprise Records” on page 90.
The part of the company’s file plan that includes categories that are related to the case study for this book is illustrated in Figure 14-1. This file plan is designed to showcase the following:
•A variety of ingestion and record declaration options that Enterprise Records offers
•The impact of various disposition aggregation levels on disposition and hold processing
Figure 14-1 Partial file plan showing categories related to the case study for this book
The case study focuses on three areas of the file plan:
•Employee data:
– Record level aggregation
– Event-based retention rule applies
•Broker-dealer transaction:
– Record level aggregation
– Fixed retention rule applies
•Corporate governance:
– Permanent retention rule applies
For performance, backup, and recovery reasons, the preferred practice is to have the FPOS and ROS in separate object stores. For this case study, we create two object stores:
•RB Record Catalog 1 (FPOS)
•RB Content Repository 1 (ROS)
Records enabling in a IBM FileNet P8 system requires a thorough understanding of IBM FileNet Enterprise Manager and the IBM Enterprise Records application. This chapter does not provide installation instructions for the IBM FileNet P8 products. We assume that you have a working version of Enterprise Records. The steps in this chapter are required and must be performed each time that you need to create a new set of object stores for use with Enterprise Records.
14.3 Creating a file plan in IBM Enterprise Records
There are different ways of setting up file plans in Enterprise Records.
A Records Retention Policy can be implemented in the Policy Management module (Global Retention Policy and Schedule Management). The master schedule and local schedules are based on certain criteria, for example, geographical locations can be syndicated to Enterprise Records.
Another way of implementing a file plan is to enter it directly into Enterprise Records. Our case study shows how to create a file plan from Enterprise Records.
In our case study of a global financial institution, the retention rules for a multinational financial institution take varying retention requirements for records into consideration.
In Enterprise Records, a basic disposition schedule is used to illustrate the record-level aggregation. Record Category is used to represent the implementation of a functional level, such as accounting, broker-dealer transactions, corporate governance, insurance, and annuity in our example.
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Note: A basic disposition schedule is a high-performance schedule that is intuitive to use.
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Within each category, records can be broken down further into smaller groupings. A basic schedule with immediate Destroy without administrator review is shown in the case study. Records are destroyed after the review period expires for an event-based client.
This next section shows the steps for creating and populating a file plan.
14.3.1 Create a new file plan
Complete the following steps to create a new file plan:
1. Log in to Enterprise Records as an authorized user.
Figure 14-2 Select Open Configuration View
3. Select the repository where the object store resides.
Figure 14-3 Select File Plans view
Figure 14-4 Add File Plan tab
6. Complete the details as shown in Figure 14-5 on page 301. Enter the file plan name, a description of the file plan, security, and (optionally) a naming pattern.
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Note: Naming patterns are a way to ensure consistency in naming the record category names and IDs, but we do not use them in this book.
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Figure 14-5 Adding a new file plan
7. In the right panel, click Add to create the new file plan.
14.3.2 Browse the file plan
To browse a file plan, follow these steps:
1. Continue from the previous step.
Figure 14-6 Browse File Plan
3. Click the Select File Plan icon, and pick the file plan that was created, as shown in Figure 14-7 on page 303.
Figure 14-7 Select File Plan
4. You can now start populating the file plan.
14.3.3 Populate the file plan
Having created the file plan, you now need to build the file plan categories. We create a hierarchy of record categories that maps to Figure 14-8 on page 304.
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Terminology: A record category is a container that categorizes a set of related records within a file plan. You typically use record categories to classify records based on functional categories.
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A record category can contain subcategories. The category has a name and an ID. Both display in the path, separated by a hyphen. Both the name and the ID must be unique within the parent container.
In our example, we create a record category called “EMP - Employee Data” and two subcategories:
•EMP100 - Compensation
•EMP110 - Employee identity under the category.
Figure 14-8 Employee data
To populate a file plan, follow these steps:
1. Log in to Enterprise Records as an authorized user.
2. From the shortcut icons at the left, select Browse File Plan.
3. Click Select File Plan and pick the file plan that you created. In this example, that is: SampleFP1 - Financial Institution.
Figure 14-9 Add Record Category
5. Complete the fields shown in Figure 14-10 on page 305, including Record Category Name, Record Category Identifier, Description, and Disposition. In this case, because there is no retention rule applies, no schedule is selected.
6. Click Add.
Figure 14-10 Setting up first level
7. Repeat the previous step to set up the rest of the first-level record categories.
8. Now you can create the record categories on the second level. This is the level which retention rules are applied.
9. From the File Plan view, select the first-level record category and click Add Record Category (Figure 14-11).
Figure 14-11 Setting up second-level record categories
10. Complete the details, including Record Category Name, Record category Identifier, Description, and Disposition.
In this example, we demonstrate the use of a basic disposition schedule. The retention rule for Employee Data - Compensation is three years after the termination of employment. To set up an event-based disposition schedule, under Disposition, select RetentionTriggerDate as the retention trigger property name and 3 years as the retention period. See Figure 14-12.
Figure 14-12 Second-level record category
11. Click Add.
Figure 14-13 shows how the file plan looks like for the Employee Data record category.
Figure 14-13 Employee data
12. Repeat steps 7 to 9 to set up the rest of the second-level record category. For a fixed disposition schedule, under Disposition, select Documented as the retention trigger property name and 6 years as the retention period. See Figure 14-14.
Figure 14-14 Fixed retention period
13. For records with a permanent retention period, under Disposition, select No schedule (see Figure 14-15).
Figure 14-15 No Schedule
14. Click Add.
Figure 14-16 shows what the partial file plan looks like.
Figure 14-16 Partial file plan of a sample financial institution
The file plan is now populated.
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