IBM Enterprise Records, V5.1 Release Notes and What's New

Content

Known Issues, Known Limitations, and Troubleshooting

Description	Techdoc/Technote
IBM Enterprise Records 5.1.2 Interim Fix 1 is available	1657880
Additional steps are required to enable records management capabilities if you set up your IBM Enterprise Records environment by using IBM Content Foundation	7040303
High Availability with JBoss	7021865
Increase MaxMessageSize for WebLogic t3 protocol for P8 RM Disposition Sweep AutoDelete process when using EJB transport.	1506498
In 5.1.0.1-IER-FP001, the Running Disposition Sweep for an Auto Destroy action help topic needs to be updated with the additional information concerning AutoDestroy	1556930
CBR not required in order to use IBM Enterprise Records	1567798
Received Failed to transfer Create Record Folder error when trying to transfer workflow with Configuration Manager	1568930
In IBM Enterprise Records V5.1.1 and earlier, users will have an issue auditing Enterprise Records Sweeps, Disposition and Hold Sweep in particular.	7047092

What's New in IBM Enterprise Records, V5.1.2

Atlas Policy Suite integration

Enhanced Atlas Policy Suite integration to expand customers’ ability to defensibly dispose of excess data by improved integration with Atlas Policy.
• Awareness and protection of externally managed objects - Global Retention Policy and Schedule Management syndicated schedules
• Improved granularity of controls for external management - Atlas Policy Suite support for Enterprise Records containers and schedule mapping

Reporting

Bundling and leveraging Cognos Reporting tools for enhanced reporting and analytics.

Basic Schedules

A new schedule type called Basic Schedules has been added to provide improved performance of records level disposition in cases that do not need advanced records capabilities.

Basic schedules support the following features:
• Records level disposition based on a property on the records assigned to the category configured with a Basic Schedule
• A retention period that is applied at the container level but enforced at the record level
• Use of existing IBM Enterprise Records file plan concepts

Basic Schedules do not support advanced capabilities such as the following features:
• Complex triggers involving multiple properties
• Alternate retentions
• Multi-filed records
• Multi-phase schedule

If you are not using the features that are not supported by Basic Schedules, you can improve disposition performance and further automate the disposition process by using a category with a Basic Schedule. Although each container is assigned either a Basic or Advanced schedule, containers with both types of schedules can co-exist in a single file plan.

Basic Schedule Workflow

When you use a basic schedule, the disposition process is different than with the traditional advanced schedules. With Basic schedules, the disposition process is started through the ECM Task Manager from within the IER client.

With task manager, you schedule a basic schedule sweep and specify the configuration for the sweep. The basic schedule sweep runs the appropriate queries and generates a report with the records that are ready for disposition. The schedule starts a basic schedule workflow to run the disposition process. This task organizes records based on the reviewer that is specified for the container where the records are located. A different report and workflow is generated for each reviewer.

The basic schedule workflow started by the task manager contains the following functionality:
• The workflow sends the disposition ready report to the BasicScheduleWorkflowReviewer user work queue to review or approve. This report includes the records that are ready for disposition in a specified number of days.
• The workflow is configurable to select either a review step or an approve step.
• Any items that cannot be deleted must be placed on hold during the review period.
• If the workflow is configured for review only, then after the due date is reached in the review step, the disposition process is automatically initiated. This event occurs even if the reviewers do not approve the disposition.
• If the workflow is configured for approval, then the disposition process is not run until the report is approved by the approver. This approval is needed even if the due date is reached.
• Disposition does not start until the disposition due date is reached, even if the reviewer or approval completes their review/approve step.
• The disposition function reads the disposition ready report and deletes the records in the report. The disposition generates RMAudit events if RMAudit is enabled.
• A NotDeletedRecords report is created for any records that cannot be deleted. If all records in the report are deleted, the NotDeletedRecords report is empty.
• A DeletedRecords report is created for the records that are deleted. If no records in the report are deleted, the DeletedRecords report is empty.
• Both the DeletedRecords report and the NotDeletedRecords report are sent to the BasicScheduleWorkflowReviewer user work queue to review. This destroy result review step does not have a due date. The workflow remains on this step until the review is completed.
• The workflow can be configured to declare both the DeletedRecords report and the NotDeletedRecords report as a record.
• The workflow can be configured to show the declared record name and GUID.

IBM Enterprise Records administration client

Redesigned, role-based user interface based on IBM Content Navigator technology enables customers to more easily deploy, manage, and use records management throughout the enterprise. The IBM Enterprise Records administration client product installation gives you the following set of features and enhancements over the traditional IBM Enterprise Records client:
• Ability to dispose of excess data by improved integration with the IBM Atlas Policy Suite:
• Protection of externally managed objects by using Global Retention Policy and Schedule Management syndicated schedules
• Improved granularity of controls for external management by using IBM Atlas Policy Suite containers and schedule mapping
• Improved efficiency and usability in the entire user interface:
• Improved browse, navigation, and management of file plans and file plan containers
• Improved records administration in the areas of records creation, retrieval, update, and deletion
• Improved user interface for basic schedule disposition sweep and report execution
• Improved IBM Content Navigator technology with the addition of Favorites and External Data Service support
• Simplified installation and configuration of IBM Enterprise Records administration client
• New IBM Content Navigator user interface is delivered as a plug-in
• Adding IBM Enterprise Records administration client is done by registering the plug-in in an existing IBM Content Navigator installation
• Enhanced performance and scalability:
• Option to disable the ability to multi-file records
• New higher performance basic schedule disposition sweep
• Improvements to workflow-based disposition processing

New features added in the new user interface

New Feature	Comment
Basic Schedules Support	An alternate schedule to Advanced Schedules
Basic Schedule Sweep	Ability to schedule and run basic schedule sweep directly from user interface; ability to view reports of items disposed; ability to see status and see when sweep started and ended; ability to approve running basic sweep
Creating and assigning Basic Schedules	Streamlined to be done directly when creating record categories
Basic Schedules configuration	Ability to set all configurations for basic sweep directly in the user interface
Favorites Management
Adding/Deleting Favorites	Ability to add all containers, records, and searches as favorites
Viewing Favorites	A pane design specifically to view and interact directly with all favorites
Reports
Cognos Report Support	Ability to use Cognos Reports to run provided report definitions
Scheduling Reports	Ability to schedule and run reports asynchronously and view archived report later
Creating/Deleting Report Definitions	Ability to create and delete report definitions which are used to create custom reports
Customization
Customize properties view	Customize which properties should be shown for which class
Customize columns	Customize which columns should be shown for each grid view
Customize system properties	Customize which system properties should be shown
Administrative settings	A large number of administrative settings now available
EDS Support	EDS support for properties is included
Others
Task Pane View	Dedicated task pane to view asynchronous report or basic sweep tasks
Work View	View work items directly from same desktop

Missing features in the new user interface

Missing Feature	Comment
Advanced Schedules Management	An alternate schedule introduced called Basic Schedules which is easier to use and more performant
Creating Advanced Schedules	Viewing capabilities only; read-only mode
Creating Triggers	Viewing capabilities only; read-only mode
Creating Actions	Viewing capabilities only; read-only mode
DoD Features
Record Types	No support to create or set record types yet
Transfer Mapping	No support to create or set transfer mappings yet
Vital Records Support	No support to set vital records
Security Classification	No ability to create classification guides or topics; no ability to declare classified records; no ability to downgrade or upgrade classification status
Search by parent	Most ad-hoc searches supported except searching by parent
Others
Crystal Reports	Cognos Reports is available now and Crystal Reports is still achievable using report engine framework
Setting Audit Configurations	Only allows you to view existing audits previously configured on entity items.
Object Store Configuration	No ability to configure object stores directly from user interface; must use configuration manager instead
Creating links	Only allows you to view links previously created
Physical Records Management	You can only declare physical documents as Physical Records. No ability to launch, charge out, or scan for physical items.
Search with mixed content search and property options	You are not able to search with mixed ANDs and ORs for CBR and properties. You are only able to search with any or all properties including CBR. This also applies to dynamic hold search.
Disposition Workflows	All existing workflows need Workplace/WorkplaceXT to run. However, these workflows can be viewed and processed inside the new user interface. Only the new Basic Schedule workflows are designed with the IBM Content Navigator step processor.

What's New in IBM Enterprise Records, V5.1.1

Provide record declare capability through IBM Enterprise Records plug-in

Deployed as a IBM Content Navigator plug-in and then registered with IBM Content Navigator
• Packaged as a JAR file.
• Packaged as a WAR and EAR file.
Same user interface as IBM Content Navigator
Supports WebSphere® and WebLogic

Enablement of enhanced reporting framework

Providing an enhanced reporting engine
• Ability to run IBM FileNet® Content Engine queries and place the result in a database table.
• Reporting application such as Cognos can extract information from the database and generate a report that is based on a template.
• A set of pre-defined templates is provided for standard IBM Enterprise Records reports.

Destroy Workflow enhancement

Adds the ability to delete content in container not on hold
• Specifies that containers not on hold are deleted during container-based disposition.
• Makes container-based disposition more usable.
• Solves an issue that prevents customers from moving to container-based disposition.
• Cannot be used with physical records.

Ability to stop auto-destroy

Provides a command-line option to specify that auto-destroy starts a shutdown
Checks whether a shutdown is requested before each query or batch operation
If shut down is requested, then the application terminates gracefully

Enable IBM Enterprise Records to use TimeZone settings from Workplace/XT preferences

• Allows users in different time zones to view and search record date and time information relative to the local time zone set in the IBM Enterprise Records web user interface.
• The Crystal Report templates included in IBM Enterprise Records display all date and time information relative to the time zone setting. For more information, see the Creating a customized report template topic.
• Workflows display date fields that are based on time zone setting.

Improve configuration of CanDeclare for use with existing content

Changes CanDeclare from a persistent property to a transient property, as defined in Content Engine. A persistent value is stored in a database while a transient value is not. A transient value is stored at the class level.
• Value is stored only on document class, not individual documents.
• Existing documents automatically get the value from the document class.
• User can update value for a document class without updating documents, including existing documents.

A Data Collection utility programmatically collects logs in the case of a site issue.

The utility provides the following capabilities:
• The utility collects basic logs for a Windows-based installation of IBM Enterprise Records. The Data Collection utility collects existing logs. The utility does not generate the logs or configure logging settings.
• A user or support personnel can use the utility to configure a collection of specific, additional log files.
• The utility creates a .zip file of the data that is collected before you upload the information to ECuRep.

You must manually upload the collected data to ECuRep. For more information, see techdoc 7036117.

Known Limitations in IBM Enterprise Records, V5.1.1

IBM Enterprise Records declare capability by using IBM Content Navigator plug-in

• No support for choice lists as part of marking sets:
• IBM Content Navigator does not provide support for choice list properties that are associated with marking sets.
• You see a text box and you are able to type in the correct value.
• IBM Enterprise Records provides the same level of support.
• No declaring records into multiple locations:
• The IBM Enterprise Records declare plug-in does not support declaring records into multiple file plan locations.
• You can declare only into a single file plan location.
• If you select an existing record entry template that has multiple file plan locations that are listed, only the default location is used.
• The other locations are ignored and a warning is displayed.
• Limited support for starting file plan location in record entry template: In record entry templates, administrators have the following options:
• Supplying a starting file plan location. This file plan location becomes the location that you start at when you are browsing and selecting different file plan locations
• Constraining users to the starting locations underneath the provided starting location only.

If the administrator creates a record entry template with a starting file plan location, the administrator is required to also constrain the user to only locations underneath. If the requirement is not met, the starting file plan location does not apply and a warning is displayed indicating that the settings are being ignored.

• No record information: There is no support for viewing record information from the document that is declared as a record.
• No support for selecting a record entry template: You must select the record entry template from the record declare dialog.
• No support to declare a record after you add a document: You need to start the record declare dialog separately.

What's New in IBM Enterprise Records, V5.1.0

Re-certification against DoD 5015.02

Additional support for re-certification against DoD 5015.02 v3 in September 2011. Certification against the standard will be announced by the U.S. Department of Defense Joint Interoperability Test Command (JITC) when completed. Certification will include additional support for Microsoft Outlook 2010 and manual declaration of Lotus Notes content.

New installation program that is based on Install Anywhere

The new installer program has the following features:
• Primarily responsible for installing binaries.
• Continues to support both interactive and silent installs and uninstalls.
• Continues to support installations of AIX, Windows, HP-UX, HP-UX Itanium, Solaris, Linux, zLinux.

Configuration that is primarily handled through Configuration Manager

New tool similar to what is used by IBM FileNet Content Engine and IBM Case Manager for configuration. Addition of the Configuration Manager Tool that is used to create three profiles:
• The Web Application Deployment profile configures and deploys the IBM Enterprise Records and Application Engine or Workplace XT web applications.
• The Object Store Configuration profile configures object stores to allow storage of IBM Enterprise Records related objects.
• The Object Store Upgrade profile upgrades File Plan and Record Object Stores from previous versions of IBM Enterprise Records and FileNet Records Manager.

Automated container creation for high volume scenarios

The auto volume creation enhancement affects the following areas:
• Serves as a workflow based solution for addressing customer needs for automatic volume creation.
• Used to support procedure that is used for high volume use cases.

Ability to undeclare records

The new undeclare action affects the following areas:
• New auditable administrative action for undeclare support for both single and multi-select action.
• Limited to Administrators and Records Managers for exception use case.
• Returns electronic documents to their non-declared state.
• There is a new API associated with this action.

Automated sweeps do not require IT

Automated sweeps do not require IT, and optionally do not require user intervention to support records administration functions such as records disposition. This enhancement affects the following areas:
• Addresses limitation of single configuration for sweeps.
• Format of sweep configuration files unchanged.
• Reduces IT administrative burden of recurring manual adjustments for sweeps.
• Sweep profiles can be used with practice of using CRON or Windows Scheduler for automated scheduling needs.

Configurable User Interface

The configurable UI feature affects the following areas:
• Ability to hide phases and alternate retentions during disposition schedule creation.
• Ability to hide Vital Records step during container creation.
• Site and User preferences to support hiding specific UI features in the creation wizards.

Logging and auditing

Improvements in logging and auditing affect the following areas:
• Added hold and unhold auditing on individual entities.
• There is more information on what is being processed by autodestroy through logging and reporting.
• Enhanced LOG R2 support to satisfy the need for all messages to contain unique IDs and to satisfy IBM logging requirements.

Updated platform support

Compatibility with FileNet Platform 5.1, Workplace XT 1.1.5, and ICC 2.2.x.