IBM Enterprise Records, Version 5.1.+            

Records management

IBM® Enterprise Records is an add-on component of the IBM FileNet® P8 suite of products. IBM Enterprise Records enables you to create and maintain accurate, secure, and reliable records for both electronic and physical information. You can use IBM Enterprise Records to manage records of any type, regardless of the storage media or format. Understanding IBM Enterprise Records depends on understanding what a record is and why you use a records management system.

Records and metadata

In the context of IBM Enterprise Records, a record is metadata--a file that references and contains information about another electronic file (document) or physical object. You create a record to place the document or physical object under corporate or governmental control, which specifies how the document or object is to be stored, accessed, and eventually disposed of. The metadata is in the form of record properties, such as media type, format, author, subject, reviewer, location, and publication date. You place records under this control as required by government standards and guidelines for the type of record. The following figure depicts the creation of records from different sources. Each record points to the information that is managed by the system.

The following figure depicts how records can be stored in different repositories, including one that may contain web content, MS Office documents, audio files; another that may contain e-mail; a third that may contain video tapes, microfilm and CD-ROMs; and another that may contain contract, patents and permits. Each record points to the information that is managed by the system

Records management

Records management refers to managerial activities, such as planning, controlling, and organizing for the creation, storage, usage, retrieval, and disposal of records. In other words, records management includes all of the activities that you perform to maintain records throughout their lifecycle of creation, active use, inactive storage, and disposition.

Need for records management

To ensure that the organizational information is accurate, complete, and easily accessible, you need to set up a reliable records management system. Otherwise, you may invest a significant amount of time in nonproductive activities, such as manually locating information or searching for missing or misfiled records.

In the absence of a records management system, it might become difficult to locate, interpret, and comply with the record keeping laws and regulations. This can result in severe fines, penalties, and other legal consequences. You may also encounter risks associated with litigation, confidentiality, and safety of critical and vital information if you do not maintain and manage records properly.

Use IBM Enterprise Records to mitigate the above-mentioned risks. You can use IBM Enterprise Records to preserve valuable information as records, available when required using search techniques, while nonessential or inactive records are either destroyed or archived.

Role of IBM Enterprise Records in records management

IBM Enterprise Records enables you to manage records across the enterprise, independent of the storage media. The purpose of IBM Enterprise Records is to ensure that: Using IBM Enterprise Records, you can:

Features and benefits of IBM Enterprise Records

The following table lists the features of IBM Enterprise Records along with benefits provided by that feature.
Feature Benefit
Centralized repository for records
  • Widespread use and availability of information across the enterprise.
  • Effective decision making due to timely availability of relevant information.
Virtual locations and containers for storing records for electronic and physical documents in a hierarchy
  • Control over hard copy document collections and electronic files.
  • Simulation of real-world office environment.
  • Virtual locations and containers model the actual physical storage structure.
  • Cost control through reduced expenditure on office space, equipment, and personnel required for records management and retrieval.
Easy-to-use search features
  • Timely and easy access to required information without the use of complicated query syntax.
Retention and disposal rules for records User-defined control over:
  • Duration for which a record should be retained.
  • Treatment of the record at the end of its retention schedule.
  • Review of records before they are destroyed.
Audit procedures for records, automated tracking of retention period, and initiation of disposal process for records
  • Records are not accidentally destroyed, altered, manipulated, damaged, or lost.
  • Records are destroyed only according to the disposition schedule or as part of an audit procedure
  • Records that are no longer required are disposed of to reduce storage requirements.
Import and export of records
  • Records that are not frequently required by the organization but need to be retained in order to comply with government regulations can be exported to some other location.
  • Records can be imported from other records repositories.
Appropriate security controls for records
  • Unauthorized users cannot access records.
  • Users cannot accidentally delete records. Records can be deleted by a Records Administrator or as a result of an audit procedure.
  • Users can perform only those record-related operations for which they have appropriate access rights.
Integration with IBM FileNet P8 Workplace, Workplace XT, Microsoft Office, and Microsoft Outlook Manual or automatic declaration of records from:
  • Workplace or Workplace XT
  • Microsoft Outlook, Word, Excel, and Power Point
  • Entry templates

User roles in IBM Enterprise Records

IBM Enterprise Records provides a role-based user security model, and includes roles for Records Administrator, Records Manager, Privileged User (DoD and Base) or Records Reviewer (PRO), and Records User. Each role determines which tasks a user belonging to that role can perform. For more information, see FileNet P8 security.

Types of IBM Enterprise Records installations

Before installing the IBM Enterprise Records application, you must choose the type of installation (data model) that fulfills your records management needs. The following data models are available:

Types of IBM Enterprise Records entities

In IBM Enterprise Records, records are stored in a hierarchical structure that contains different record management entities. The following figure depicts the hierarchical structure of these entities followed by a brief explanation of each entity:

The following graphic depicts a hierarchical structure of records where a file plan object stores is at the top level.

The following is an example of the hierarchy of record management entities

File plan

General management (category)
     Correspondence files (folder)
     Program briefings (folder)
          2006 Management training conference (volume)
          2007 Management training conference (volume)
Information management (category)
     Correspondence files (folder)
     Operator's number sheets (folder)


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Last updated: August 2011
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