rpaf KTl Pen source Alfresco 3 Records Management Comply with regulations and secure your organization's records with Alfresco Records Management
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1 Alfresco 3 Records Management Comply with regulations and secure your organization's records with Alfresco Records Management Dick Weisinger rpaf KTl Pen source I I /t V»» IV I I community experience distilled PUBLISHING - BIRMINGHAM MUMBAI
2 Preface 1 Chapter 1: Records Management 9 What is a record? 9 What is Records Management? 11 Electronic Records Management 11 Record lifecycles 11 Benefits of Records Management 15 Records Management is about complying with legal requirements 15 Regulatory compliance 16 Authority Documents and compliance 16 E-discovery 17 Records Management is about ensuring accountability 19 Records Management is about preserving assets 20 Records Management is about efficiency 21 Records Management is about being prepared 22 Records Management is about coming to grips with data volumes 25 Records Management is about security 26 Records Management is about good business 27 Summary 27 Chapter 2: Getting Started with the Alfresco Records Management Module 29 The Alfresco stack 29 Alfresco software 30 Make sure the software versions are compatible 31 Downloading the Alfresco software 31 Alfresco Community 31 Alfresco Enterprise 32 Installing the base Alfresco software 33 Running the installer 33
3 Installing Alfresco Records Management modules manually 41 Starting the Alfresco Repository and Share application 44 Starting Alfresco Share 46 Share dashlets 48 Enabling the Records Management dashlet 49 Adding the Records Management site 50 Designating the Records Management administrator 51 How does it work? 52 The Records Management AMP Files 53 The Records Management Console dashlet 55 The flow of Alfresco webscripts 55 The flow of the Records Management webscript dashlet 57 Web development within Share 72 Summary 72 Chapter 3: Introduction to the Alfresco Share Records Management Site 73 The Share environment 74 A brief history of Alfresco Share 74 Alfresco Share as a social platform 74 Alfresco Share and the Alfresco 3 Labs release 75 Alfresco Share 3.X Post-Labs release 75 Use cases for Alfresco Share 76 Team project sites 76 Publishing sites 76 Personal sites 77 Alfresco Share and collaboration 77 Share dashboards 77 Changing the dashboard layout 80 Changing the placement of dashboard dashlets 80 Changing site dashboards 80 Site pages 81 Configuring site page navigation 81 Share themes 83 Share collaboration 84 Collaboration tools 84 Project-based collaboration data 85 The Records Management site 86 The site dashboard 86 The File Plan 86 The File Plan toolbar 87 Left navigation panel 90 Records search 92 Site members 93 Administration of site members 93
4 How does it work? 94 Share configuration files 94 Repository property files 95 Customizing bean files 96 Server log configuration file 101 Dashboards 102 Preset dashboard configurations 102 Modifying the preset dashboard configurations 109 Persistence of dashboard configurations 110 Modifying existing user dashboards 116 Programmatically accessing persisted dashboard data 116 Creating a new Share theme 118 Share site top navigation toolbar 119 Summary 120 Chapter 4: Metadata and the Alfresco Content Model 123 The Alfresco Content Model 124 The model namespace 125 Alfresco namespaces 125 Types 127 Properties 129 Constraints 131 Types of constraints 132 Associations 134 Aspects 137 Creating a new model 139 Designing the model 139 Implementing the model file 141 The model file header 141 Model import files 142 The model namespace 142 The model constraints 143 The model types 143 The model aspects 146 Installing the model 146 Bootstrap deployment of the model 147 Dynamic deployment of the content model 148 Exposing a new content model from the Share user interface 150 Adding Types to the site upload form 150 Adding Types to the Change Type action 152 Seeing the new Type applied to a content node 154 Customizing the forms for viewing and editing the new model's metadata 156 The Records Management Content Model 161 The Records Model 162 The Records Model header 162 The Records Model imports 163
5 The Records Model namespace 163 The DoD 5015 Records Management Content Model 164 Extending the Alfresco Content Model 164 Summary 166 Chapter 5: Creating the File Plan 167 The File Plan a definition 168 Components of the File Plan 168 Benefits of the File Plan 170 Looking at the Alfresco example File Plan 170 Best practice for creating the File Plan 172 File Plans based on organizational hierarchy 172 File Plans based on business processes and activities 173 Best practice for File Plan design 173 Creating the File Plan 174 Adding containers to the File Plan 175 Creating a Series 175 Creating a Category 176 Creating a Folder 178 File Plan container metadata 179 Copy and move of File Plan containers 181 How does it work? 182 How the File Plan page is set by the preset 182 The File Plan, as extended from the Document Library 183 The Document Library JavaScript controller file 184 Getting the Location Type 185 Setting doclibtype in the model data 187 Setting the root node in the model data 187 The Document Library FreeMarker presentation 191 FreeMarker page layout for the File Plan 191 The File Plan Document List 197 The Document List Data Table 201 Summary 206 Chapter 6: Creating Disposition Schedules 207 What is the disposition schedule? 207 Disposition instructions 208 The record lifecycle 208 Inheritance of the disposition 212 Disposition example application at the Folder level 212 Disposition example application at the record level 214 Creating the disposition schedule 216 The review 216 The disposition schedule 218 General information for the disposition 219
6 The disposition steps 220 Configuring a simple disposition schedule 222 Time-based triggers 223 Event-based triggers 225 Trigger precedence 226 Making changes to the disposition schedule 227 Deleting steps of the disposition schedule 227 Editing steps of the disposition schedule 228 Importing and exporting File Plan data 228 Importing a File Plan 229 Exporting the File Plan 230 How does it work? 231 The Category details page 231 The edit disposition instructions page 235 The create disposition steps page 238 Disposition edit client-side JavaScript 241 Summary 243 Chapter 7: Filing Records 245 Filing more than one way 246 Filing an electronic record from Share 247 Filing a non-electronic record from Share 251 Filing from another Share site 252 Filing a record from a CIFS mounted drive 253 What is CIFS? 253 Filing with CIFS 254 Configuring CIFS 255 Troubleshooting CIFS 256 Checking to see whether the CIFS server is running 256 Missing NetBIOS DLL 257 Problems with ports 258 CIFS server name is too long 258 Conflicts with authentication settings 259 Filing from an client with IMAP 259 What is IMAP? 259 Filing with an IMAP client 260 Configuring IMAP 260 Configuring IMAP to run on the server 260 Configuring IMAP on clients 262 Filing to Alfresco via FTP 266 Bulk import 267 An unsupported add-on 267 Bulk import and Records Management considerations 267 Bulk import can't import disposition information 267
7 Installing bulk import 268 Simple interface to access bulk import 268 Bulk import shadow files 269 Auto-declaration of records Metadata and dates Running the tool Filing by scanning 272 Identify which records to scan 272 Metadata and classification 273 Filing scanned images 273 Other ways to file 274 How does it work? 275 Internals of electronic file upload 275 Internals of non-electronic record filing 281 Summary 285 Chapter 8: Managing Records 287 Records Details 288 Alfresco Flash previewer 289 Record Metadata Record actions 292 Download action Edit Metadata Copy record Move record File record Delete record Audit log Links Events References How does it work? The Details page 300 The JavaScript controller for the Details page 301 The FreeMarker template for the Details page 301 Summary 315 Chapter 9: Following the Lifecycle of a Record 317 Undeclared records Specifying mandatory metadata Declaring the record Record review Closing a Folder Cutoff
8 Transfer 321 Accession 325 Destruction 327 Audit log 328 Hold or freeze 329 Responding to a hold request 330 Freezing records 330 Locating records on hold 331 Creating an export package of requested records and metadata 332 Releasing the hold 334 The File Plan report 334 How does it work? 335 The unique record ID 335 Background jobs 336 Review notifications 337 Lifecycle tracking 342 The File Plan component 344 Linking to the transfer and hold pages 346 Rendering transfer and hold Items 346 Finding transfer items 347 Finding hold items 348 Transfer report 349 Summary 352 Chapter 10: Searching Records and Running Audits 353 Search and Records Management 353 Authorization and search 354 Records Search page 354 Single-field search form 354 The Search form 355 Basic search 356 Property search 356 Date search 357 Search filters 358 Restricted File Plan search 360 Search result columns 360 Result list search order 361 Clearing the search criteria 362 The Results tab 362 Syntax errors 364 FTS-Alfresco query language 364 Searching for a term 364 Searching for a phrase 365 Wildcard search 365
9 Conjunctive search 365 Disjunctive search 365 Negation 366 Properties 366 Special fields 367 Escaping QNames 368 Escaping characters not in a QName 369 Grouping 369 Boolean 369 Dates 370 Ranges 370 Proximity searches 371 Mandatory elements 372 Optional elements 372 Operator precedence 372 Example searches 372 Saved searches 373 Creating a saved search 373 Editing a saved search 374 Deleting a saved search 375 Records Management audits 376 Purpose of the records audit 376 Planning for the audit 376 Things to look for in the audit 377 Deliverables from the records audit 378 The Audit tool 379 Accessing the Audit tool 379 Using the Audit tool 380 Running an Audit report 380 Filtering the report by event 382 Filtering the report by property 383 Filtering the report by user 384 Filtering the report by date 385 Audit log viewing options 385 Viewing the full log 386 Filing the Audit log report 386 Export the Audit log report 387 Stopping, starting, and clearing the Audit log 387 How does it work? 388 The Records Search page 388 DataSource and data webscript 390 Saved searches 391 Custom properties 392
10 The Audit tool 393 Summary 395 Chapter 11: Configuring Security and Permissions 397 Creating users 397 Adding a new Share user 398 New user access to Share 400 User admin 401 Groups and Records Management 401 Browsing groups 402 Adding a new group 403 Deleting a group 404 Editing groups 405 Adding members to a group 406 Member access to the Records Management site 406 Subscribing to the Records Management site 407 Requesting access to the moderated Records Management site 408 Access to a private Records Management site 409 Creating Records Management roles 411 Roles and permissions 411 Access controls applied to the File Plan 412 Viewing and editing the Records Management roles 413 Browsing role permissions 414 Editing role permissions 418 Creating a new role 419 Deleting a role 419 Read and file permissions 419 The User Rights Report 422 How does it work? 423 Admin console users 423 Users in the repository 424 Users as usnusers 425 Users as cm:persons 425 Access to roles via webscripts 428 Permissions 429 Summary 430 Chapter 12: Configuring Records Management Parameters 431 The Records Management Console 432 List of Values 432 Supplemental Markings 433 Transfer Locations 434 Creating a new List of Values 435
11 Table of Contents Deleting the List of Values 436 Custom Metadata 437 Mappings 439 metadata 440 Creating an mapping 441 Events 441 Relationships 443 How does it work? 445 The Management Console page 445 Rendering of Management Console tools 446 The Console page layout 447 The tools navigation region 448 Custom Records Management metadata 449 List of Values 452 Events 454 WebScript calls for Management Console information 455 Summary 456 Index 459
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