Report configuration and prerequisites

This topic provides:

Before you can generate a report, you must perform any prerequisites, as listed below for that report. You must also have configured the Reports Server during the installation of IBM InfoSphere Enterprise Records. For more information, see the IBM InfoSphere Enterprise Records Installation and Upgrade Guide.

IBM InfoSphere Enterprise Records reports

The following reports are based on the currently selected default file plan which was determined by the Administrator. To generate a report, select the Reports tab in IBM InfoSphere Enterprise Records, and follow the prompts to enter the specific configuration criteria that serve as a base for the report.

When entering criteria for a report, you can often type information as well as select it. However, to ensure information is correct, initially you should select it, until you are familiar with the data that is expected. For example, when specifying a section of the file plan, you must specify the full path, starting with /Records Management.

For many of the reports, you must run Disposition Sweep to get the most current information. For more information, see Run Disposition Sweep. To optimize the report generation, see Performance.

Actions Performed by a User

This report is based on the last modifier's name. It does not show every action performed by the specified user. For example, if the user created a record and no one else has modified it, then that user is still the last modifier and the report will list that Creation event. If someone else modified the record, the creator's name will not appear in the report for this record because he or she is no longer the last modifier.

Before running this report, perform the following prerequisites:

The report will only list actions performed after auditing has been enabled. For more information, see Auditing.

NOTE  The report only shows delete events when:

Actions Performed by a User
Property Description
Specify section of File Plan Click browse to select the part of the file plan on which you wish to run the report. If you do not specify a section, the entire file plan is used.
User Name Enter a user name or click select user to search and select the user whose actions you wish to query.
Start Date Click the calendar icon and select the earliest action date on which to base the report.
End Date Click the calendar icon and select the latest action date on which to base the report.
RM Entity Type Make your selection by clicking on one or more of the RM entities from the list (using Shift + click or Ctrl + click).
Report Type

Select Detailed to see the Event Name, Entity Type, User Name, Action Date, Entity Name, and Total Entities.

Select Summarized to see the Event Name, Entity Type, and Total Entities.

Categories and Folders by Disposition Actions

This report shows which categories and folders were affected by a specified disposition action. You must have previously assigned disposition schedules to categories and folders. Run Disposition Sweep to see the latest information. For more information, see Add an action, Associate a disposition schedule with an entity, and Run Disposition Sweep.

Categories and Folders by Disposition Actions
Property Description
Disposal Action Select a disposal action from the drop-down list, which includes Review, Export, Transfer, Destroy, Interim Transfer, Cutoff, or Vital Review.
Start Date Click the calendar icon and select the start date of the report. This defines the beginning of the period during which the selected disposition action was performed.
End Date Click the calendar icon and select the end date of the report. This defines the end of the period during which the selected disposition action was performed. .
Report Type

Select Detailed to see Phase Execution Date, Disposition Schedule Name, Entity Type, Phase Execution Date, Date Created, Creator, and Entity Name.

Select Summarized to see Phase Execution Date, Disposition Schedule Name, Entity Type, and Total Entities.

Disposition Schedules Defined in a File Plan

This report lists the disposition schedules present in the file plan. For more information about disposition schedules, see Disposition schedules.

Disposition Schedules Defined in a File Plan
Property Description
Report Type

Select Detailed to see the Disposition Schedule Name, Action Name, Entity Type, and Entity Name.

Select Summarized to see the Disposition Schedule Name, Entity Type, and Total Entities.

Disposition Schedules Allocated to Record Types

Before running this report, perform the following prerequisites:

Disposition Schedules Allocated to Record Types
Property Description
Specify section of File Plan Click Browse to select the part of the file plan on which you wish to run the report. If you do not specify a section, the entire file plan is used.
Disposal Schedule Name Click select disposition schedules to select a disposition schedule from the list that displays, or type a name. Note that if the text you select or type appears in any other schedule name, that schedule will also be selected.
Report Type

Select Detailed to see the Schedule Name, Entity Name, Create Date, Created By, and total number of records.

Select Summarized to see the Schedule Name and total number of records.

Electronic Categories and Folders Associated with a Disposition Schedule

This report shows which categories and folders have been associated with a specified disposition schedule. For more information, see Associate a disposition schedule with an entity.

Electronic Categories and Folders Associated with a Disposition Schedule
Property Description
Disposal Schedule Name Click select disposition schedules to select a disposition schedule from the list that displays, or type a name. Note that if the text you select or type appears in any other schedule name, that schedule will also be selected.
RM Entity Type Make your selection by clicking on one or more of the RM entities from the list (using Shift + click or Ctrl + click).
Report Type

Select Detailed to see Schedule Name, Action Name, RM Entity Type, Date Created, Created By, and RM Entity Name.

Select Summarized to see Schedule Name, Action Name, RM Entity Type, and Total Entities.

Electronic Folders and Records by Protective Markings (PRO only)

This report shows which folders and/or records were previously marked for the selected security classification. You must enter a User ID and Password for the database that establishes your classification. You can see information at your classification or lower.

Electronic Folders and Records by Protective Markings
Property Description
Security Category Select one or more security categories (Top Secret, Secret, Confidential, Restricted, or Unclassified)
RM Entity Type Select one or both entity types for which you want the report
Report Type Select Detailed to see Security Category, RM Entity Type, Date Created, Creator, and RM Entity name. Select Summarized to see Security Category, RM Entity Type, and Total Entities.

Electronic Folders Created within a Specific Period

This report shows which electronic folders were created during a specified time period.

Electronic Folders Created within a Specific Period
Property Description
Specify section of File Plan Click browse to select the part of the file plan on which you wish to run the report. If you do not specify a section, the entire file plan is used.
Start Date Click the calendar icon and select the earliest creation date on which to base the report.
End Date Click the calendar icon and select the latest creation date on which to base the report.
Report Type

Select Detailed to see Date Created, Creator, and RM Entity Name.

Select Summarized to see Date Created and Number of Record Folders Created.

Electronic Records Created by a User within a Specific Period

This report lists electronic records created by a specified user within the time period you specify.

Electronic Records Created by a User within a Specific Period
Property Description
Specify section of File Plan Click browse to select the part of the file plan on which you wish to run the report. If you do not specify a section, the entire file plan is used.
Start Date Click the calendar icon and select the earliest creation date on which to base the report.
End Date Click the calendar icon and select the latest creation date on which to base the report.
Created By User Enter a user name, or click select user to search for and select the user for whom you wish to generate a report.
Report Type

Select Detailed to see Created By, Create Date and RM Entity Name.

Select Summarized to see Created By, Create Date, and No. of Entities Created.

Electronic Records Viewed by a User within a Specific Period

This report shows which records were viewed by an IBM InfoSphere Enterprise Records user within the time period you specify. Before running this report, perform the following prerequisites:

For more information on auditing, see Enable or disable auditing.

The report lists only records viewed after auditing was enabled.

Electronic Records Viewed by a User within a Specific Period
Property Description
Specify section of File Plan Click browse to select the part of the file plan on which you wish to run the report. If you do not specify a section, the entire file plan is used.
Start Date Click the calendar icon and select the earliest viewing date on which to base the report.
End Date Click the calendar icon and select the latest viewing date on which to base the report.
Viewed By User Enter a user name or click select user to search for and select the user for whom you wish to generate the report.
Report Type

Select Detailed to see Viewed By, View Date, Created By, Create Date, RM Entity Name and Total Number of Records.

Select Summarized to see Viewed By, View Date and Total Entities.

Electronic Volumes Opened and Closed within a Specific Period

This report shows which electronic volumes were opened and/or closed during the time period you specify. For the detailed report you can query for both; for the summarized report, you specify either opened or closed. For information about how volumes are opened and closed, see Volumes.

Electronic Volumes Opened and Closed within a Specific Period
Property Description
Specify section of File Plan Click browse to select the part of the file plan on which you wish to run the report. If you do not specify a section, the entire file plan is used.
Start Date Click the calendar icon and select the earliest open/close date on which to base the report.
End Date Click the calendar icon and select the latest open/close date on which to base the report.
Action Click the Opened and/or Closed checkboxes (as available), depending on which should be included in the report.
Report Type

Select Detailed to see the Open Date, Close Date (either or both), Closed By, Date Created, Created By, and RM Entity Name.

Select Summarized to see Open Date (or Close Date) and number of entities opened or closed.

Folders and Records Associated with a Disposition Schedule

This report shows which folders and records were associated with a specified disposition schedule during a specified time period.

Folders and Records Associated with a Disposition Schedule
Property Description
Specify section of File Plan Click browse to select the part of the file plan on which you wish to run the report. If you do not specify a section, the entire file plan is used.
Disposal Schedule Name Click select disposition schedules to select a disposition schedule from the list that displays, or type a name. If the text you select or type appears in any other schedule name, that schedule will also be selected. This field is case sensitive.
Start Date Click the calendar icon and select the earliest association date on which to base the report.
End Date Click the calendar icon and select the latest association date on which to base the report.
Report Type

Select Detailed to see Disposal Schedule, Entity Type, Action Name, Allocation Date, Date Created, Creator, and Entity Name.

Select Summarized to see Allocation Date, Disposal Schedule and Entity Type.

Folders and Records by Disposition Actions

This report shows entities that were affected by the specified action. Before you can generate this report, you must associate the action with one or more disposition schedules and associate the disposition schedules to one or more categories or folders. Run Disposition Sweep to obtain the latest information in the report.

NOTE This report only includes information about folders.

Folders and Records Associated by Disposition Actions
Property Description
Disposal Action Select a disposition action from the drop-down list, which includes Review, Export, Transfer, Destroy, Interim Transfer, Cutoff, or Vital Review.
Start Date Click the calendar icon and select the start date of the report. This defines the beginning of the period during which the selected disposition action was performed.
End Date Click the calendar icon and select the end date of the report. This defines the end of the period during which the selected disposition action was performed.
Report Type

Select Detailed to see Action Name, Entity Name, Phase Execution Date, Date Declared/Date Filed, Created By, Schedule Name, ID, Location, Record Category/Folder Identifier, Media Type and Format.

Select Summarized to see Action Name, RM Entity Type and Total Entities.

Folders and Records on Hold

This report shows which folders and records are currently on hold. You must have previously created one or more holds and applied them to entities. The date refers to when the hold was applied.

Folders and Records on Hold
Property Description
Specify section of File Plan Click browse to select the part of the file plan on which you wish to run the report. If you do not specify a section, the entire file plan is used.
Start Date Click the calendar icon and select the earliest hold date on which to base the report.
End Date Click the calendar icon and select the latest hold date on which to base the report.
Report Type

Select Detailed to see the Entity Type, Entity Name, Date Created, Created By, Hold Date, Hold Name, ID, Location, Record Category/Folder Identifier, Media Type and Format.

Select Summarized to see the Entity Type and Total Entities.

Location of Electronic Records by Application Type

This report shows the locations of records by type of application that created the associated document. The report uses the data from the Format field of a declared record. The Format field is an optional entry when declaring an electronic record in the Base and PRO data models, but a required field in the DoD data model. As long as the value in the Format field matches that of one of the format types you can select for this report, the record will be selected for the report.

Location of Electronic Records by Application Type
Property Description
Application Type Click select application type and select an application type from the subsequently displayed list. If necessary, click Next to go to the next page of application types.
Report Type

Select Detailed to see Application Type, Created By, Created Date, and RM Entity Name (includes location).

Select Summarized to see Application type, Location, and Number of Entities.

Records Due for Downgrading or Declassification (DoD Classified only)

This report lists records that are scheduled to be downgraded or declassified within a specified time period. This report produces results only when sufficient time has passed so that some records are due for this change in classification. Users will see only records that are equal to or lower than their own security classification. Downgrade on Events is not available in the report.

Records Due for Downgrading or Declassification
Property Description
Specify Section of File Plan Click Browse to navigate to the section of the file plan for which you want the report. Click Ok when the appropriate entity is listed at the end of the path. If you do not specify a section, the entire file plan is used.
Classification Action Select Downgrading to find records that will move from top secret or secret to a lower classification. Select Declassification to find records that will move from top secret, secret, or confidential to unclassified.
Start Date Click the calendar icon and select the earliest date on which to base the report.
End Date Click the calendar icon and select the latest date on which to base the report.
Report Type

Select Detailed to see Downgrade on date, Current Classification, Record Title, and Downgrade Instructions for the Downgrade option. For the Declassified option, the report shows Declassification Date, Current Classification, and Record Title.

Select Summarized to see Downgrade on date, Current Classification, and Record Title for the Downgrade option. For the Declassified option, the report shows Declassification date, Current Classification, and Record Title.

Records Folders without an Associated Disposition Schedule

If you create record folders before you create their disposition schedules, use this report to find the folders later when you are ready to assign their disposition schedules. The report applies to the entire file plan.

Records Folders without an Associated Disposition Schedule
Property Description
Report Type

Select Detailed to see Entity Type, Entity Name, ID, Date Created/Date Filed, Creator, Location, Record Category/Folder Identifier, Media Type and Format.

Select Summarized to only see the number of entities in each Entity Type.

Review Decisions Taken within a Specific Period

This report lists all categories, folders, and records for which a specified review decision was made. The report applies to the entire file plan. Previously you must have created and applied disposition schedules to the appropriate IBM InfoSphere Enterprise Records folders and run Disposition Sweep. The reviewers must have completed the tasks in their workflow inboxes (or the RecordsManagerApproval public inbox).

Before running this report, you must create a custom object by completing this procedure:

  1. In Enterprise Manager (EM), go to the FPOS > Records Management > RM Master > System Configuration.
  2. Click and select New > Custom Object.
  3. Enter a name for the custom object, and click Next.
  4. Select the List Hidden Classes check box.
  5. From the list, select the System Configuration class.
  6. In Property Name field, enter this exact string: "Disposal Phase Required"
  7. In Property Value field, enter "1"
  8. Finish creating the object.
  9. Refresh the object store.
Review Decisions Taken within a Specific Period
Property Description
Review Decision Select the review decision from the drop-down menu, which includes Approve, Reject, Hold, or Change Schedule.
Start Date Click the calendar icon and select the earliest review date on which to base the report.
End Date Click the calendar icon and select the latest date on which to base the report.
Report Type

Select Detailed to see Phase Decision Date (month), Schedule Name, Entity Type, Phase Decision Date (day and time), Review Comments, Date Created, and Creator.

Select Summarized to see Phase Decision Date (month), Schedule Name, Entity Type, and Total.

Structured File Plan View

This report lists the categories or folders (or both) in the selected section of the file plan. The dates refer to when the entities were created.

Structured File Plan View
Property Description
Specify section of File Plan Click browse to select the part of the file plan on which you wish to run the report. If you do not specify a section, the entire file plan is used.
RM Entity Type Make your selection by clicking on one or more of the RM entities from the list (using Shift + click or Ctrl + click).
Start Date Click the calendar icon and select the earliest creation date on which to base the report.
End Date Click the calendar icon and select the last creation date on which to base the report.
Report Type

Select Detailed to see the Entity Type, Created By, Create Date, Entity Name, and the total number of this entity type.

Select Summarized to only see the number of this entity type.

Vital Records Due for Disposition

This report shows which vital records are due for review (or other configured action) in the time range you specify. You must have previously set a vital review action and a recurring date when the action is launched periodically. The record's vital indicator must be set to true. Run Disposition Sweep to update the records before running this report. For more information, see Set vital records.

Vital Records Due for Disposition
Property Description
Specify section of File Plan Click browse to select the part of the file plan on which you wish to run the report. If you do not specify a section, the entire file plan is used.
Start Date Click the calendar icon and select the earliest date for vital record reviews.
End Date Click the calendar icon and select the latest date for vital record reviews.
Report Type

Select Detailed to see the Review Date, Create Date, Created By and Entity Name.

Select Summarized to see the Review Date and the total number of records.