IBM Enterprise Records, Version 5.1.+            

Disposition

Disposition workflows deal with the disposal process of a record category, record folder, volume, and records. You can associate various types of disposition workflows, such as Screening, Cutoff, Destroy, and Transfer, with an entity. However, before every disposal action, if the isScreeningRequired parameter is set to true, the Screening workflow will be launched. Once screened and approved, the appropriate Disposition workflow is launched. This section discusses the following types of Disposition workflows:

Screening workflow

The Screening workflow enables you to screen an entity before the execution of workflows associated with the phases of the entity. This workflow assigns a Reviewer to review the entities due for disposal. For screening an entity before the occurrence of an action, you need to set the isScreeningRequired property to true for the Phase object associated with an entity.

When the Screening workflow is launched, the first general step is the Review step with a Reviewer as the participant who approves or rejects the specified entities. After the entities are approved, the Launch Workflow component step occurs. In this step, the appropriate workflow will be launched, depending on the disposal action associated with the entities. The actions taken by a Reviewer are passed to the launched disposal workflow so that these are visible in the Approve step of Disposition workflows.

Cutoff workflow

The Cutoff workflow sends a request to the Records Manager to review an entity and approve the cutoff date of the entity. This request is sent as a work item in the RecordsManagerApprovalQueue. After the Records Manager reviews the entity and approves the cutoff date, the entity goes to the next phase if phase exists. Once the Cutoff workflow is launched, the following component steps and step processor UIs are associated with the workflow.
(Cutoff) Review
Is a general step processor wherein the Records Manager reviews an entity after the cutoff date is reached. The Records Manager either approves or modifies the cutoff date or performs any other action.
Update (Cutoff Date)
Is a component step processor, wherein the system updates the RM data model with the new cutoff date and reason for rejecting the original cutoff date. To update the RM entity, the system calls the setCutoffdata() method of the RM_Workflow_Util component queue.

Destroy workflow

The Destroy workflow is one of the Disposition workflows that you can associate with a disposition action for a phase in a disposition schedule. The purpose of the Destroy workflow is to ensure that entities are permanently destroyed at the end of the retention period of the phase with which the Destroy workflow has been associated. In case of electronic entities, both metadata and content will be deleted. For physical entities, metadata is deleted as a result of the Destroy workflow execution. However, a set of minimum metadata is retained if an entity has been configured to retain minimum metadata after destruction.

After the Destroy workflow is launched, the following component steps and general step processors are associated with the workflow:
Generate Transcript
Is a component step wherein a Transcript XML string is generated and stored in the data field of the Process Engine.
Approve Destroy
Is a general step processor wherein the Records Manager reviews an entity before it is destroyed, and provides relevant review comments. The Records Manager can approve or reject the execution of the Destroy action on the entity.
Check Entity
Is a component step that checks whether the entity (and its child entities) to be destroyed are physical or electronic entities. If no entity is approved for performing the Destroy action, a message is displayed.
Physical Destroy
Is a general step processor that prompts the Records Manager to specify the method of destruction for the physical entities.
Destroy
Is a component step processor that prompts the Records Manager to specify whether or not minimum metadata should be retained for the entity that is to be destroyed. In case of an electronic entity, it calls the RM Java™ API to destroy the metadata and contents of the electronic entity; in case of a physical or hybrid entity, only the metadata is destroyed.
Set Transcript
Is a component step that calls the RM Java API to write the Transcript string in an XML file and sends it as an attachment to the next step.
Transcript
Is a general step processor that displays the Transcript XML file attachment to the Records Manager.

Export workflow

The Export workflow is used to export an entity and its associated metadata to a specified location. This workflow is launched at the end of the retention period of an entity. While exporting, it creates copies of entities at the specified location. The Export workflow is used for making backups or for transferring entities to a different system or object store.

After the Export workflow is launched, the following component steps and step processor UIs are associated with the workflow:
Generate Transcript
Is a component step wherein a Transcript XML string is generated and stored in the data field of the Process Engine.
Approve (Export)
Is a general step wherein the Records Manager reviews an entity. The Records Manager can either approve or reject the entities due for export.
Check Entity
Is a component step that eliminates all the rejected entities from the previous step and identifies whether the approved entities are physical, hybrid, or electronic. If no entity is approved for the Export action, a message is displayed.
Physical Export
Performs a physical export of the physical entities. In this step, you need to specify the export location
Export
Exports an entity at the specified location by calling a component RM Java™ API. For physical or hybrid entities, only the associated metadata is exported, while for electronic entities both metadata and contents are exported.
Set Transcript
Is a component step that calls the RM Java API to write the Transcript string in an XML file and sends it as an attachment to the next step.
Transcript
Is a general step processor that displays the Transcript XML file attachment to the Records Manager.

Disposition Review workflow

The Disposition Review workflow is launched for the review phase of the disposition schedule. It enables the reallocation of the disposition schedule, which can result in:
  • Scheduling a later review for an entity, following an additional retention period.
  • Marking an entity for permanent preservation and transfer to the Public Record Office (PRO), immediately or following an additional retention period.
  • Destroying an entity, immediately or following an additional retention period.
After the Disposition Review workflow is launched, the following component steps and step processor UIs are associated with the workflow.
Approve
Is a general step processor wherein the Records Manager reviews an entity and provides relevant review comments. The Records Manager can approve or reject the execution of disposition actions on the entity.
Update
Is a component step processor wherein the system updates the entities with the actions taken by Records Manager and the modified values such as the review date, review comments, or reviewed by. This step calls the setReviewData method of RM_Workflow_Util.

Two Step Transfer workflow

The Two Step Transfer workflow first exports entities to the specified destination then destroys the entities from the original location on confirmation of export and approval for destruction from the Records Manager. The entities can be transferred to a specified location at the end of the retention period of a phase.

After the Two Step Transfer workflow is launched, the following component steps and general step processor UIs are associated with the workflow:
Generate Transcript
Is a component step wherein a Transcript XML string is generated and stored in the data field of the Process Engine.
Approve (Transfer)
Is a general step processor wherein the Records Manager reviews an entity before it is transferred, and provides relevant review comments. The Records Manager can approve or reject the execution of the Transfer action on the entity.
Check Entity
Is a component step that checks whether the entity (and its child entities) to be transferred is a physical or electronic entity. Additionally, this step eliminates all of the rejected entities from the previous step. If no entity is approved for the performing the Transfer action, a message is displayed
Physical Transfer
Is a general step processor wherein the Records Manager enters the information required to transfer physical entities approved for transfer. The entities approved for transfer will be transferred to the specified locations and in the selected format and a transcript file is generated. This transcript file includes the success/failure of export for each entity and the status of each step of the workflow along with the reason for status. This transcript file is then sent to the Records Manager.
Transcript
Is a general step processor that displays the Transcript XML file that the system generates when the disposition action is performed successfully on entities approved for disposition. The system automatically sends this file as an attachment to the Records Manager. This file contains the information about the success/failure of the disposition action performed on each entity in the batch approved for disposition, and the status of each step in the workflow and the reason for the status.

Interim Transfer workflow

The Interim Transfer workflow changes the home location of a physical entity and location of an electronic entity to the specified location at the end of the retention period of a phase. The Records Manager must approve the interim transfer of each entity. Before approving the interim transfer of a physical entity, the Records Manager should ensure that the physical entity has been manually transferred to the new location.

After the Interim Transfer workflow is launched, it is associated with the following component steps and step processor UIs:
General Transcript
a component step wherein a Transcript XML string is generated and stored in the data field of the Process Engine.
Approve
Is a general step wherein the Records Manager reviews an entity and provides relevant review comments. The Records Manager can approve or reject the execution of the Interim Transfer action on the entity.
Check Entity
Is a component step that checks whether the entity (and its child entities) to be transferred is a physical or electronic entity. Additionally, this step eliminates all of the rejected entities from the previous step. If no entity is approved for the performing the Interim Transfer action, a message is displayed.
Interim Transfer
Exports the approved entities at the specified location and performs the Destroy action on the entities based on the metadata values.
Set Transcript
Is a component step that calls the RM Java™ API to write the Transcript string in an XML file and sends it as an attachment to the next step.
Report Transcript
Is a general step processor that displays the Transcript XML file attachment to the Records Manager.


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Last updated: August 2011


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