Structured records management
for business applications
Information Management Software Solutions
March 2003
Structured records management for business applications
Page 2
Table of Contents
3
The need for records management in e-business
5
Delivering e-records technology
9
Bringing records management to e-business
11
Meeting recordkeeping requirements
13
Inside DB2 Records Manager
15
Robust records management
18
DB2
Records Manager architecture
20
Advantages of DB2 Records Manager
24
Enabling business applications with e-records capabilities using DB2 Records Manager
26
Delivering e-records services
Structured records management for business applications
Page 3
The need for records management in e-business
Most of today’s critical business records are created and stored in electronic
form. From medical and financial records to design specifications, legal
documents and e-mail, the volume of critical electronic corporate records
in a single enterprise can easily reach the billions. Yet, businesses rarely
have a structured, formal means of preserving records and, when required,
destroying them with full legal confidence. The following points illustrate
the records-related issues facing businesses today:
•
Increasing adoption of e-business and e-government.
Electronic records
are being produced, copied, edited, transmitted and deleted at rates
that defy conventional capture and classification methods. Businesses
need a practical, effective way to properly cope with the sheer volume
of business records that they’ve acquired.
•
Regulatory compliance.
Many industries and government agencies must
adhere to regulations in order to conduct their business. These regulatory
requirements often mandate formal, structured recordkeeping practices of
some kind. Companies that don’t comply with regulations risk being penalized
or limited in what they can do in that industry. For example, government
agencies must comply with numerous laws regarding freedom of information,
privacy and the maintenance of historical and archival records. In the
commercial world, businesses must adhere to statutes concerning taxation,
occupational health and safety regulations, environmental protection laws
and more.
Highlights
Managing billions of
corporate records
Meeting regulatory requirements.
Structured records management for business applications
Page 4
•
Exposure to litigation.
Businesses today are seeking formal, structured
recordkeeping for their electronic documents to demonstrate compliance
with regulations and laws, and to establish strong, credible evidence of proper
business conduct.
•
Information glut.
Corporate and government repositories are growing larger
each year, with some measured in the terabytes or even petabytes. Too much
recorded information is often worse than not enough. Businesses need to
know, with full legal confidence, what records they can delete and when.
Businesses need to manage their electronic documents in a way that reduces
their risk and enables them to demonstrate their regulatory, legal and fiscal
compliance. Electronic recordkeeping provides the means by which a business
can begin to demonstrate its recordkeeping accountability to shareholders,
customers and regulators.
e-Records
software brings formal, structured
recordkeeping practices to the electronic information produced or managed
by business software. Business software with e-records capability applies formal
recordkeeping practices and methods to the electronic documents, which
helps to demonstrate compliance with regulations, preserves critical documents
necessary for future decision making and deletes information at only the
appropriate time, in accordance with applicable laws, regulations and/or policies.
Organizations can now preserve the business records they’ve determined they
must keep, while destroying those permitted by law, policy or regulations.
Electronic recordkeeping forms a key part of the infrastructure supporting
a business’s overall accountability.
Highlights
Guarding against litigation
Minimizing risks with e-records
management technology.
Structured records management for business applications
Page 5
Delivering e-records technology
A business can assess the laws, regulations and policies that affect it, and form a
series of applicable retention and disposition policies (rules) to govern its deletion
of records. e-Records technology
provides the tool for businesses to apply these
policies
to everyday electronic records, and to implement these decisions within
their business systems. With e-records technology, the business can now govern
what information to keep and for how long (retention) and what information
to destroy/archive and when (disposition). These disposition decisions are
then applied to the electronic information stored in the business’s electronic
repositories. The e-records technology itself is underpinned by a structured
File Plan (a structured hierarchy of record subjects or business activities), and
uses a sophisticated Retention/Disposition Scheduling process that applies the
retention rules/policies fed into it.
Retention &
Disposition Decisions
Corporate Inf
ormation
Laws
Policies
Regulations
Records Management
Retention/Disposition Scheduling
Structured File Plan
e-Records management technology enables organizations to easily track which documents they must
retain and which they can discard according to laws, policies and regulations.
Highlights
Retaining and disposing of records
Applying corporate records
management strategies to
enterprisewide information.
Structured records management for business applications
Page 6
IBM introduces a new e-records infrastructure technology for e-business
called IBM DB2
® Records Manager. A component of IBM’s enterprise content
management (ECM) portfolio, DB2 Records Manager provides a robust,
scalable platform and infrastructure that enables businesses to bring formal
electronic records management capability to their e-business solutions. When
used with a content or document management system like IBM DB2 Content
Manager or IBM Lotus
® Domino.Doc
®, DB2 Records Manager brings electronic
recordkeeping capabilities to an array of business information.
DB2 Records Manager is a tool for applying formal records management
policies and practices to electronic and non-electronic documents. When used
within a context of clear and consistent corporate policy, it can offer a number
of benefits:
•
Reduced litigation costs/risk through structured document destruction.
Properly
employed within a context of clear and consistent corporate policies, DB2
Records Manager provides a highly structured system that enables your
records destruction to be better understood. It also gives you a means
of consistently applying applicable laws, regulations and policies to your
destruction decisions.
•
Minimized discovery costs during litigation through improved evidence
discovery.
With a well-defined process for records retention and destruction
—
backed by supporting audit trails
—
you may be able to reduce the total
time of electronic evidence discovery (e-discovery) during litigation. Good
electronic recordkeeping means you can keep the records you need, and
destroy those which are not required.
•
Ability to demonstrate compliance with regulations.
Good recordkeeping
involves preserving the appropriate records produced in the normal course
of business.
•
Enhanced decision making.
With timely and relevant information, businesses
are better equipped to make important decisions.
•
Reduced operational costs.
Properly employed within a context of clear and
consistent corporate policies, DB2 Records Manager enables you to trim physical
storage costs and mandated e-discovery costs, as well as the expenses associated
with identifying, finding and retrieving mission-critical business records.
Highlights
New infrastructure for records
management
Support for better decision making.
Structured records management for business applications
Page 7
The diagram below illustrates how DB2 Records Manager brings recordkeeping
to e-business and e-government. Laws, policies and regulations are used to create
a list of formal
retention rules
. Most organizations will have already established
their retention rules, in the form of a
retention schedule
. The business activities
are captured in a structured
file plan
, a hierarchical structure of subjects/activities,
broken down into sub-subjects/sub-activities. Business records (shown as documents)
are
declared
as formal corporate records. Then, records are
classified
against the
file plan’s activity/subject that best matches that of the declared records. Thus,
the record bears the official retention rule assigned to that activity/subject in the
file plan.
Doc 1
Doc 2
Doc 3
Doc 4
Doc 5
Doc 6
Retention Rule
1
Safety
Finance
Travel
Inspection
Incident
Budget
Audits
Requests
Reports
Retention Rule
2
Retention Rule
3
Retention Rule
4
Retention Rule
5
Retention Rule
6
Retention Rule
7
Retention Rule
8
Retention Rule
9
Retention Rule 10
Retention Rule 11
Retention Rule 12
Rule 1
Rule 3
Rule 1
Rule 5
Rule 8
Rule 8
File Plan
Classification
Retention Schedule
DB2 Records Manager executes an organization’s document retention rules to abide by
recordkeeping standards.
Highlights
Creating retention rules
Abiding by recordkeeping standards.
Structured records management for business applications
Page 8
Most businesses today have formal recordkeeping practices in place, along
with trained supporting personnel with suitable expertise to administer their
organization’s records practices and procedures. These practices and processes
are often based entirely upon paper records. DB2 Records Manager, however,
allows the business to apply the same recordkeeping capability to its electronically
recorded information, by delivering the following core e-records capabilities:
•
Declaration.
A means by which a document can be designated to be a
corporate record
. Once declared as a corporate record, edit and delete
control of the document is passed from the user to the recordkeeping
process, as administered by the corporate records management professionals.
The declared record can then only be modified or deleted in accordance
with the organization’s formal records management process, not by the
end user. Declaration may be performed manually or it can be completely
automated, e.g., when a certain property is set, the declaration process may
be automatically triggered at the server or the desktop application level.
•
Classification.
A means by which a document can be classified against the
official corporate file plan. Similar to the Declare function, this stage can
be completely manual or process-driven and automated, depending on the
particular implementation.
•
Lifecycle Management.
Applicable retention rules are applied to the records
through a formal, multistage process. With this process, the pre-defined
retention/disposition rules and policies are applied against all the declared
records, so that only the relevant documents are deleted at the appropriate time.
•
Physical Records Management.
The same underlying recordkeeping
infrastructure and processes are applied to manage the business’s traditional
physical (paper) records. Track individual records, folders and boxes; apply
barcoding technology and manage physical storage space.
Highlights
Core e-records capabilities
Formal process with
management ease.
Structured records management for business applications
Page 9
Bringing records management to e-business
IBM offers two ways to benefit from the electronic recordkeeping capabilities
of DB2 Records Manager:
•
Infrastructure offering.
DB2 Records Manager is available as an enabling
technology whereby a business can bring the e-records capability to
business software. With DB2 Records Manager, a business can e-records-
enable virtually any business software application, from commercial to
custom-built. All the underlying recordkeeping infrastructure and processes
are supplied by DB2 Records Manager. Using the sophisticated DB2 Records
Manager
API
(application programming interface), the Declare, Classify and
Lifecycle capabilities can be incorporated directly within the “host” business
application. The business’s professional records management personnel
operate and administer the records using the DB2 Records Manager
Records Administration Client
.
e-mail
App 2
App 3
App 4
App 5
IBM DB2 Content Manager
Web
Windows
Version
Control
Workflo
w
Search
(Full-te
xt)
Image
Mgmt.
Security
Storage Management
IBM DB2
Records
Manager
Records
Administration
Client
Meta data
Records
Document Meta data
File Plan
Retention Schedule
Physical Recor
ds
Documents,
Images,
Data St
reams,
Audio
Pairing DB2 Records Manager with DB2 Content Manager is one way to incorporate records management
capabilities into an e-business.
Highlights
Embed recordkeeping capabilities
into business applications
Working with DB2 Content Manager.
Structured records management for business applications
Page 10
•
e-Records for IBM DB2 Content Manager.
DB2 Records Manager is available
as an embedded feature of DB2 Content Manager, IBM’s core
enterprise
content management solution. The Declare, Classify and Lifecycle Management
capabilities are incorporated into DB2 Content Manager. Additionally, DB2
Content Manager is certified for compliance with the United States Department
of Defense e-records standard (U.S. DoD 5015.2 STD June 2002).
DB2 Records Manager features an engine
—
its enabling technology
—
that
resides on a Web server. A business can implement electronic recordkeeping
for any number of host business applications. Declared records are maintained
within the repository of the host applications, i.e. they need not be moved to
a separate records repository (unless this is desired). DB2 Records Manager
applies records control directly to declared records. All recordkeeping
administration is carried out from the central Records Administration Client.
Repositor
y
Repositor
y
Repositor
y
Repositor
y
Repositor
y
Repositor
y
App 2
Declare/Classify
App 1
Declare/Classify
App 3
Declare/Classify
App 4
Declare/Classify
App 5
Declare/Classify
App 6
Declare/Classify
e-Records Server
Records
Administration
Meta data
Records Processes
Retention Schedule
File Plan
In DB2 Records Manager, a Records Administration Client provides the central means from which such
capabilities are executed.
Highlights
Standards compliance
Centralized recordkeeping
administration.
Structured records management for business applications
Page 1
1
Meeting recordkeeping requirements
IBM has listened carefully to the recordkeeping needs of businesses and the
public sector, and understands them clearly. To successfully achieve electronic
recordkeeping in today’s complex and fast-moving technology environment,
IBM recognizes that a solution must:
•
Be widely accepted.
It is critical that organizational records are declared and
classified day in and day out, across many applications and within different
environments. Traditional, desktop-based records management applications
(RMA), however, have met with user resistance. DB2 Records Manager
overcomes this resistance by embedding recordkeeping features and functions
in existing host applications, rather than introducing a new application to the
users. Declaration and Classification can also be automated in a number of
different ways, decreasing the reliance on manual user intervention. Adding
to its general acceptance is the fact that DB2 Records Manager technology
can be embedded within many different applications, offering uniform central
records administration
—
independent of particular applications.
•
Leverage the Internet.
Installing software on desktops can become an
expensive endeavor. Businesses appreciate solutions that can be implemented
as Web-based applications, for lower cost, as well as ease of deployment and
maintenance. DB2 Records Manager is a pure Web server-based technology,
which can be implemented with a zero client footprint.
•
Comply with standards.
In the U.S., DoD 5015.2 STD compliance
—
a
recordkeeping standard that DB2 Records Manager and DB2 Content
Manager with DB2 Records Manager have archived certification to
—
is
essential to government and many other organizations. Similar e-records
standards are emerging throughout Europe and the Asia-Pacific region. IBM
remains committed to complying with new standards as the market dictates.
Highlights
Minimizing manual intervention
Zero client footprint.
Structured records management for business applications
Page 12
IBM’s infrastructure approach to e-records represents a model that is vastly
simplified in comparison with traditional e-records management. Essentially,
IBM has transformed the existing electronic recordkeeping model, fundamentally
improving the way e-records capability is delivered. With the Web-based DB2
Records Manager, there is no complex records management desktop application,
and the recordkeeping infrastructure and administration are confined to a
remote server. DB2 Records Manager applies records control to declared records
within the applications
—
it does not attempt to duplicate any application
functionality. Declared records are maintained within the application’s repository,
not removed from it. There is no technology overlap with business applications,
such as content searching or document viewing. In its simplest form, DB2
Records Manager is a decision engine that lets the business application do its
job, without interfering with it. When the time comes that a declared record
must be deleted or transferred from the business application, DB2 Records
Manager will request access to it for deletion. With DB2 Records Manager, IBM
delivers e-records as a capability that works in concert with business applications
over the full lifecycle of the record, while preserving the integrity of the record.
Inside DB2 Records Manager
DB2 Records Manager consists of the following major components:
•
e-Records Engine
•
API
•
Records Administration Client
•
Report Designer.
Highlights
Simplified records management
Running in the background
Core capabilities form
comprehensive solution.
Structured records management for business applications
Page 1
3
•
Scale.
Large organizations, particularly high-profile businesses, tend to have
a strong e-records requirement. This means that the e-records technology
has to scale to support tens, even hundreds of thousands of users. DB2
Records Manager was engineered specifically with scalability in mind, and
IBM is constantly enhancing this feature by introducing support for larger,
high-volume transaction processing environments.
•
Adapt to the organization’s recordkeeping practices.
Recordkeeping tends
to be practiced differently in different countries and industries, among
different companies within the same industries and even within divisions and
subsidiaries of large corporations. In fact, it is not unusual for a business to
completely invent its own peculiar recordkeeping methods
—
and for these
methods to become deeply ingrained in the organization. e-Records technology
has to be sufficiently adaptable to deal with this enormous disparity in
practices. In other words, the technology must conform to the business, not the
other way around. IBM has solved this challenge with an innovative feature of
DB2 Records Manager called IBM Recordkeeping Methods Modeling (RMM).
DB2 Records Manager models the business’s recordkeeping practices and
methods at installation time, and adapts to the organizational recordkeeping
practices in use. In addition, DB2 Records Manager features a file plan that
can be quickly and easily aligned with other records management principles
and practices, to accommodate major business reorganizations
•
Be well deployed and supported.
e-Records support is a capability that must
be infused throughout the organization. Because it tends to impact many
different, existing business processes, it is absolutely critical that the solution
be carefully and thoughtfully deployed throughout the user community. A
Web-based technology, DB2 Records Manager inherently minimizes technical
deployment challenges. Furthermore, trained IBM personnel carefully plan
and execute e-records deployments.
Highlights
Support for high-volume transaction
processing
Easy fit into various environments.
Structured records management for business applications
Page 14
Together, these components offer a comprehensive recordkeeping solution
for even the most sophisticated automated environment:
•
e-Records Engine.
The e-records engine, essentially the enabling technology,
provides a true Web server process that runs on a remote server connected to
the corporate intranet or the Internet. It implements and manages the official
corporate file plan, retention and disposition rules, and related recordkeeping
processes. It stores, in a database, meta data on declared records from the
various business applications, supporting records infrastructure data such as the
file plan and retention schedule, audit trails and other recordkeeping information.
•
API.
The API presents a comprehensive, programmatic interface to all aspects
of the engine. The API is XML-based, and supports COM+ for Microsoft
clients and SOAP for non-Microsoft client applications.
•
Records Administration Client.
This component is a browser-based tool
that the corporate records manager uses to conduct daily records operations.
From a browser, the corporate records manager can enter the retention and
disposition rules, apply security, define audit trails, run lifecycle management
and administer physical records management (PRM). It operates over the
intranet or Internet, and is fully customizable and extensible.
•
Report Designer.
Reports are a very important part of modern recordkeeping
for usage monitoring, statistical analysis of records and mandated reporting
to regulators. DB2 Records Manager contains a full-function, WYSIWYG
Report Designer. The Report Designer is a Microsoft
® Windows
®-based
client application that allows DB2 Records Manager to use drag-and-drop
techniques to design sophisticated, fully formatted reports. Once designed,
the report templates may be saved for later re-use within the DB2 Records
Manager Records Administration Client.
Highlights
Browser-based tool
Drag-and-drop techniques.
Structured records management for business applications
Page 1
5
Robust records management
Management of corporate electronic and physical records demands a rich
selection of records administration capabilities. DB2 Records Manager offers
this rich mix within its Records Administration Client, a Web application used
by the business’s corporate records manager. This client contains all the modern
recordkeeping capability needed for effective management of today’s physical
and electronic records:
•
Lifecycle Designer.
This supports different lifecycles for different classes of
records, with unlimited lifecycle phases and phase transition parameters, and
manual or automatic interphase transfer. Even the ownership and security of
records can change upon phase transition.
•
Time/Event Disposition.
The disposition of more than 60 percent of business
records is driven by an external event, such as a mandate to “destroy two
years after expiration of contract.” DB2 Records Manager supports Time,
Event and Event/Time disposition modes, with cutoff features to account
for the predetermined time periods, such as fiscal year or business quarter.
•
Disposal Authorities.
Many government agencies use written disposal authorities,
granted by a governing archival agency, to prove authority to destroy. DB2
Records Manager can elect to restrict destruction to only those records
where a disposal authority has been cited.
•
File Plan Designer.
A key part of RMM, DB2 Records Manager lets the
corporate records manager design any conceivable file plan based upon unary
or hierarchical object relationships, define different user views and security
policies, and establish relationships between record objects. This means that
virtually any particular recordkeeping process can be implemented.
Highlights
Flexibility to support varying needs
Customizing an appropriate file plan
for the business.
Structured records management for business applications
Page 16
•
Vital Records.
With DB2 Records Manager, vital records can be duly
designated for special treatment, which improves disaster recovery and
supports business continuity.
•
Business Process Rules.
DB2 Records Manager has a unique and powerful
macro programming language whereby a recordkeeping event can trigger
some external event. Using this capability, e-records processes can be
seamlessly incorporated into external work processes (or vice versa) without
custom programming. This means, for instance, that a change in a record,
such as its status or destruction, can trigger automatic notification of
affected users, or start an external process (a close-out of a loan application,
for example).
•
Localization.
DB2 Records Manager has been specifically designed to
minimize the time and effort required to adapt the Records Administration
Client to local terminology and multiple languages. All field labels can be
defined by the operator.
•
Automatic Classification.
Automatic classification is a highly regarded
capability, as it removes the need for end users to manually assign retention
rules. DB2 Records Manager offers meta data-based automatic classification,
whereby the corporate records manager can define classification rules based
on meta data about the record.
•
Report Designer.
DB2 Records Manager contains a full-function WYSIWYG
report designer. Report templates are saved to disk for subsequent reuse, and
later run against query output saved in XML format.
•
Global Update.
Corporate reorganizations, whether from mergers and
acquisitions or internal restructuring, sometimes cause tremendous grief for
the recordkeeping infrastructure. DB2 Records Manager offers a sophisticated
Global Update capability that minimizes the inevitable downstream
administrative overhead of corporate reorganizations.
Highlights
Automatic triggers
Recordkeeping stability even through
corporate reorganizations.
Structured records management for business applications
Page 1
7
•
Advanced Querying.
DB2 Records Manager offers both simple and advanced
querying for the corporate records manager, including records meta data
review, querying and reporting capabilities.
•
Advanced Security Schema.
While the host business application has primary
control of declared records, DB2 Records Manager offers an optional level
of records-based security, as required by some regulators. The administrator
can define access control policies, user/group roles, access control lists and
permission profiling.
•
Standards Compliance.
DB2 Records Manager is certified compliant with
U.S. DoD 5015.2 STD June 2002. IBM is committed to complying with
e-records standards as markets dictate.
•
Legal Hold.
DB2 Records Manager lets the corporate DB2 Records Manager
apply a legal hold (sometimes referred to as a suspension) to designated
records. Records under legal hold are protected from any possible destruction
until the hold is lifted.
•
Audits.
DB2 Records Manager features extensive activity logging, audit trail
and reporting capabilities, essential to demonstrate compliance and provide
legal support of destruction activities.
•
Records Destruction.
Most e-records standards require that destruction of
electronic records be “non-recoverable.” DB2 Records Manager relies on the
host business application to perform actual destruction, which DB2 Records
Manager triggers and would commonly be carried out in non-recoverable form.
•
Physical Records Management.
With DB2 Records Manager, the corporate
DB2 Records Manager can easily track and manage physical records
including files, folders, boxes, labels and barcoding, and make better use of
available physical space.
Highlights
Safe and secure
Extending records management to
physical items.
Structured records management for business applications
Page 18
DB2 Records Manager architecture
The diagram below illustrates the technology architecture of DB2 Records Manager.
Client Side
Server Side
e-mail
Client
e-mail
Connector
Report
Designer
Host
Application
Browser
Client
COM+
Windows 2000
SOAP
IIS 5.0
COM+
SOAP
Host
Application
e-Records Engine
Records
Admin.
Web
Client
Business
Logic
Layer
(API)
Data
Access
Layer
(Engine)
DBMS
DB2 Records Manager was designed with an open architecture that enables its capabilities to be easily
embedded in a host application.
From right to left on the above diagram, the database
stores meta data only.
DB2 Records Manager implements a database schema of its own, required for
the file plan, lifecycle management rules, auditing and other administration.
The schema has been designed so it can be easily merged within the schema
of the host application’s database. All of the tables and stored procedures of
DB2 Records Manager have been uniquely named so as not to collide with
SQL structures of the host application.
Highlights
Fits smoothly into host
application database.
Structured records management for business applications
Page 1
9
The core engine consists of the data access layer and business logic layer,
both of which can be configured for multiprocessor scaling. The Records
Administration Client application is written in ASP script. The business application
vendor can easily modify the ASP scripts to make the client application uniform
with the host application, or port the entire application to any Microsoft Windows
platform that supports a COM+-based API, such as Visual Basic or Visual C++.
Such capabilities provide scalability to accommodate the business’s growing records
volumes, as well as a level of flexibility to use the business’s platform of choice.
The host application communicates with DB2 Records Manager through the
COM+ or SOAP protocols, using XML. The e-records engine runs on Windows
2000 Advanced Server with IIS and ASP services. It is designed with the latest
technology for high performance, maximum scalability and interoperability with
modern business application software. The engine itself resides on a Windows
2000 server, as the administration/infrastructure client requires IIS 5.0 or
greater and ASP 3.0 to operate.
Within DB2 Records Manager, all communication to and from the API occurs
through XML. All data output from queries, reports and utilities is stored in XML
format. As part of its ongoing commitment to open standards, IBM has published
an XML schema for communication with the enabling engine technology.
Highlights
High performance and interoperability
Open standards support.
Structured records management for business applications
Page 20
Advantages of DB2 Records Manager
IBM’s technical and functional approach to DB2 Records Manager solves
the problems of traditional RMAs, and offers a number of benefits:
•
End user acceptance.
With DB2 Records Manager embedded within a
business application, users see their participation in recordkeeping as just
another feature of the business application they are already using. They do
not have to learn or use a new application. DB2 Records Manager can be
deployed with no “desktop footprint.”
•
Speed-to-market.
ISVs can now get to market with a robust, formal
recordkeeping capability in a fraction of the time it would take to engineer
the entire e-records infrastructure from scratch. IBM’s
RAD
(Rapid
Application Design) architecture ensures the ISV can quickly and safely
meld the technology within its application.
•
Multiple applications.
A single instance of DB2 Records Manager can be used
to apply recordkeeping to potentially all the applications of an entire enterprise.
•
Wide deployment.
As an entirely Web-based software engine, IBM’s
technology has no user client software whatsoever, and can therefore be
readily deployed enterprisewide. Its Web server-based design lends itself
to server farms and large-scale deployments.
•
Repository management.
Declared corporate records are not disturbed,
thus preserving the security and storage capability of the host application.
•
Flexibility.
RMM ensures that any unique recordkeeping practices or
conventions can be applied to physical and electronic records.
•
Standards compliance.
IBM’s e-records technology is compliant with the
U.S. DoD 5015.2 STD June 2002, and the host application itself may be
certified for compliance.
Highlights
Rapid deployment
Secure storage.
Structured records management for business applications
Page 2
1
The table below details the core features of DB2 Records Manager, their
functions and their benefits:
SOAP, COM+ API
Engine design
n-tier architecture
Stateless architecture
No client-side
software
Open database
support
Open XML messaging
support
Embedded declare/
classify function
Unicode, message
externalization
User exit/event
scripting
Browser-based
Records
Administration Client
Embed e-records into Windows
or non-Windows platforms
Electronic recordkeeping
can e-records-enable virtually
any business application
Browser (client), server,
business logic and database
tiers; n-tier architectures
require stateless connections
Application state not preserved
during session, maximizing use
of server resources
Embedded DB2 Records
Manager solution can include
no client-side records visibility
and be a complete server-
side solution
Use SQL Server, Oracle or
DB2 (future)
XML utilized as messaging
format for all API
communications and data
import/export
Declare/classify can be
embedded within an application
server or the user interface
Designed to support multiple
languages of operation
Trigger any record activity
event on creation or edit of any
record or record-related activity
Run records administration
from within a Web browser
Bring e-records accountability to
Windows and non-Windows platforms
One single, central e-records solution
for multiple business applications
Scale up to large deployments;
meet high-performance,
large-volume demands
Robust scalability and support
for disparate connectivity, rapidly
changing connection volumes
and secure transactions
Avoid technology duplication
with business applications;
easy enterprisewide deployment,
centralized maintenance
Scale up to robust,
high-capacity transactions
Compliance with industry standards;
portability across Web environments;
easy system migration of existing
records data
Easy to use and non-intrusive to
business users
Faster, easier translation to multiple
target languages of operation
Provide ability to automate record
and fle plan processing upon any
event; react immediately when
important records are changed
that impact the organization.
Secure records administration from
anywhere on the Internet/intranet
Feature
Function
Benefit
Technical
Structured records management for business applications
Page 22
Recordkeeping
Methods Modeling
(RMM)
Physical Records
Management (PRM)
Meta data-based
automatic
classifcation
Records expunge
Lifecycle designer
Time, event, event/time
disposition
File plan designer
Vital records tracking
Model any recordkeeping
process/method
Track folders/boxes, bar-coding,
report generation, space
management
Create automatic classifcation
rules based on meta data
Destroyed e-records cannot be
recovered
Specify lifecycle phases,
characteristics and interphase
criteria
Specify any combination
of time and event within a
retention rule
Onscreen tools to design
your fle plan to match your
business; subject activities,
hierarchical structure, security
model, views, etc.
Identify and track vital records
Handles recordkeeping methods from
any country/industry/business
Handle both electronic and physical
records with one solution
Reduce your dependence on end
users for classifcation accuracy
Reliable, secure destruction of
electronic records from storage media
Different record formats can
transition into different stages of
lifecycle independently of one
another, providing complete record
lifecycle flexibility
Flexible retention rules to handle
any conceivable combination of
disposition
Software adapts to your corporate
fle plan, not the other way around
Implement maximum disaster
recovery levels
Feature
Function
Benefit
Records Management
Structured records management for business applications
Page 2
3
Report designer
Global update
Advanced security
schema
Legal holds
Audit trails
File plan template
import/export
U.S. DoD 5015.2
certifed
Distribute and reuse saved
report templates
Perform global, multirecord
changes in a single operation
Use access control lists to
defne user/group security
at any point in the fle plan;
load security from host
Apply legal holds/suspensions
to any records
Comprehensive auditing of all
record activities
Duplicate a fle plan to different
parts of your organization
Certifed June 2002 for new
5015.2 (second version)
No need to purchase a third-party
report writer; reports are
security-sensitive
Easily handle corporate
reorganizations
Robust, flexible security to match
existing corporate policies
Compliance with court orders
Prove compliance with regulations,
maximum defense of corporate
destruction procedures
Reduced duplication of effort setting
up a corporatewide fle plan
Meet current U.S. government
requirements for e-records
Feature
Function
Benefit
Structured records management for business applications
Page 24
Enabling business applications with e-records capabilities using DB2 Records Manager
ISVs can embed DB2 Records Manager into their business application in one of
two ways:
•
Non-certified integration.
This is the fastest, simplest approach to delivering
basic e-records capability to the business application. The host application
may be U.S. DoD 5015.2 STD-
compliant
, but not
certified
to the standard.
The ISV simply integrates the Declare and Classify services into the
application, along with a simple lifecycle management service to destroy
declared records tagged by DB2 Records Manager for destruction. Under
this basic approach, the host application cannot be independently certified
to the U.S. DoD 5015-2 STD June 2002.
•
Certified integration.
In this approach, DB2 Records Manager exists within
the host application such that the application itself can be certified for
compliance with the U.S. DoD 5015.2 STD June 2002. The host application
itself would have to successfully pass several mandatory requirements of the
standard. The following embedding tools and actions would be required, in
addition to the base non-certified integration:
•
Search/retrieval extensions.
A number of prescribed search configurations
must be incorporated, above and beyond basic retrieval.
•
Certification test.
The host application must be submitted to DoD
for formal testing. Once the ISV application has passed the DoD’s
mandatory testing, the host application will be granted a two-year
certification of compliance.
Highlights
Two options for ISVs
Standards compliance.
Structured records management for business applications
Page 2
5
Embedding the e-records engine in an application (non-certified) is a matter of
programming three changes to the application. A
Declare
capability allows users
to declare a document/e-mail to be an official record, whereupon DB2 Records
Manager takes over deletion control of the document.
Classification
provides a
means whereby an approved official retention/disposition rule is applied to the
declared record. Both manual and automatic methods may be used to assign this
rule. Finally, the
Lifecycle Management
function allows DB2 Records Manager
to ultimately delete or transfer the declared record from the application at the
end of its approved lifecycle.
To recap:
• Declare.
Implement a button, right-click, or some other operation to declare a
document to be a record. DB2 Records Manager records certain meta data about
the document, and retains exclusive deletion control over its remaining life.
• Classify.
DB2 Records Manager assigns a formal retention rule to the declared
record. The user creates a reserved data field in the business software for
storing the rule number. Then, either a rule will be automatically assigned,
or DB2 Records Manager presents the user with a selection of applicable
rules from which to choose.
• Lifecycle Management.
This lets the records administrator apply the retention
and disposition rules to the declared records in the business software. For
each e-records-enabled business application, DB2 Records Manager will
notify the application that the declared record is ready to be destroyed or
transferred. The host application must implement a basic utility process to
delete the specified declared records.
Highlights
Letting DB2 Records Manager do
the work
Summarizing key capabilities.
Structured records management for business applications
Page 26
Delivering e-records services
Having an enterprisewide e-records capability typically affects all aspects of
document creation and storage. In order to achieve across-the-board end user
participation and consistent, accurate classification, business users must be willing
to view recordkeeping in a new light. IBM has learned from experience that a
number of factors have to be present to ensure a successful e-records deployment:
•
The business culture has to change slightly.
Sound recordkeeping practices
must be “baked into” the organization so that recordkeeping becomes a
normal
—
and expected
—
part of daily business operations. End users must
understand the value of recordkeeping.
•
Results must be constantly measured.
Continued measurement of critical
success factors such as declaration rates and classification accuracy are
important tools to identify problem areas before they spin out of control.
•
Embed, don’t integrate.
e-Records processes must be a part of the existing
business applications and processes that are used each and every day. With
DB2 Records Manager, bulky integration of multiple desktop applications
is replaced with a simple solution. In the case of DB2 Content Manager,
e-records capabilities are included directly in the menus and operating
procedures of DB2 Content Manager.
DB2 Records Manager represents a new approach and new technology for
bringing powerful recordkeeping capability into any organization’s or ISV’s
e-business solutions, or to applications based on DB2 Content Manager. With
DB2 Records Manager, IBM provides state-of-the-art technology and an
innovative new delivery model, enabling businesses to establish the frameworks
they need to manage records across the enterprise.
Highlights
Weaving recordkeeping into normal
business processes
Innovative way to support corporate
accountability goals.
GC18-7564-00
© Copyright IBM Corporation 2003
IBM Corporation
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Printed in the United States of America
03-03
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