D49229 PDF

Stellent: Using Records Manager
Student Guide
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D48809GC10
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Edition 1.0
February 2007
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D49229
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Copyright © 2006, 2007, Oracle. All rights reserved.
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Welcome
Welcome to classroom training on the Records Management system using Stellent’s
Records Manager. In class, you will learn tasks performed by basic record users and
tasks performed by record administrators.
Tasks performed by basic record users include:

♦ Accessing Records Manager
♦ Browsing the file plan and understanding the file plan components
♦ Checking in records
♦ Searching for records
♦ Customizing your user interface
♦ Linking Records
Tasks performed by record administrators include:

♦ Implement a Records Manager security model m y
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♦ Implementing a file plan, which consists of creating series, categories, and record
folders
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♦ Configuring Records Manager
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♦ Defining disposition instructions for record categories and record folders
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♦ Exporting and importing a file plan
♦ Screening
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♦ Auditing
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This class is a combination of lecture, demonstrations, and hands-on lab time. Using a
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building-block approach you will learn skills in the first lesson and add to those skills as
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we continue through the course.
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Each lesson may include the following sections:
Objectives Describes what will be accomplished for each lesson.
Discussion Provides key learning points and background information for

each lesson.
Procedures Lists step-by-step instructions for completing each task.
Activities Provides an opportunity for you to practice skills presented

during the class in a hands-on lab environment. Presents you with
the opportunity to go beyond the scope of the classroom
discussion and tailor the activity to fit your specific needs.
Additional information will be provided to identify special points of interest by including

TIPS, Screen Captures, and Call Outs throughout the course workbook. Examples are
given below.
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TIP Provides additional information about a topic.
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Screen Capture
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Pictures of the screens you will see while
learning Records Manager.
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Appears on the side of
a screen capture to
point out important
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Class Architecture
The software installed on each computer:
• A master instance of Stellent Content Server named Training. The Records
Manager component is installed on the Training instance.
• A master instance of Stellent Content Server named Contribution.
• One proxied instance of Contribution Stellent Content Server named Production
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Training Example File Plan
An example file plan has been created for training. We will use this file plan to learn
the using and administration skills of Records Manager. Sample records have been
loaded into this file plan for viewing.
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IV
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Table of Contents
Using Records Manager
Records Manager overview .......................................................................................................1-1
Accessing Records Manager .....................................................................................................2-1
Browsing the file plan .................................................................................................................3-1
Checking in records ...................................................................................................................4-1
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Understanding record actions ....................................................................................................6-1
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Searching for records.................................................................................................................5-1
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Customizing your user interface.................................................................................................7-1
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Linking records...........................................................................................................................8-1
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Records Manager Administration
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Administration responsibilities....................................................................................................9-1
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Implementing a records management security model .............................................................10-1
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Implementing a file plan ...........................................................................................................11-1
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Defining disposition instructions...............................................................................................12-1
t e U
Configuring Records Manager .................................................................................................13-1
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Configuring Records Manager: Additional Security Components ...........................................14-1
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Exporting and importing a file plan...........................................................................................15-1
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Screening .................................................................................................................................16-1
O Auditing ....................................................................................................................................17-1
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VI
1
Records Manager Overview
Objectives
This lesson helps you understand these concepts:

• Records management
• The Records Manager solution
• Using Records Manager to manage your records
• Records Manager feature and benefits
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•
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Types of records
Basic Records Manager concepts
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• Security feature
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1-1
Records Manager Overview

Stellent Records Manager helps organizations control the creation, declaration,
classification, retention, and destruction of business records.
• A record is any content item whose disposition and location must be tracked and
maintained according to your organization’s requirement.
Records can be accessed, reviewed, retained, or destroyed in an easy and efficient
manner, by authorized people according to your organization’s requirement.
The Stellent solution manages records, along with documents, digital assets, e-mails,
e-mail attachments, collaboration and Web content, within one repository via a
common interface – making it easier to use and helping achieve a lower total cost of
ownership.
The Records Manager Solution

The Records Manager solution starts with a core Stellent Content Server, a fully
functional Content Management System providing end-to-end content
management and personalized delivery of that content. Features include:
Single source control of Workflow

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content Security
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Check in / check- out
Revision control

Personalization
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Metadata and full-text
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Subscription services
Persistent Uniform Resource
searching
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Stellent Records Manager is built on top of the Stellent Content Server foundation
which enables you to manage records in the same Stellent repository used for
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managing the documents and other content produced by your organization.
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Records Manager offers additional functionality for creating, declaring,
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classifying, retaining and destroying records.
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Stellent Records Manager is compliant with the DoD 5015.2 standard (including
Chapter 4), and certified by the Joint Interoperability Test Command (JITC). A
c l e
copy of the standard is available on the official website of the Department of
Defense, Washington Headquarters Services, Directives and Records Division at
r a http://www.dtic.mil/whs/directives/.
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1-2
Lesson 1: Records Manager Overview
Records Manager Features

Stellent Records Management provides robust functionality for compliance with
statutory, regulatory and operational mandates and guidelines.
Easy to use and access

• Support for all file formats (MS Office, CAD drawings, Visio diagrams, etc.)
• Access via a Web browser
• Automatic conversion to Web-viewable records for publishing to the Web
• Limit access and permission levels
• Search and retrieve all content (and records) from a single point of access
Audit and review

• Trigger disposition based on any system-defined event or create your own
triggers
• “Hold” records on demand to prevent processing of disposition schedule
• Security distinguishes between record viewing, record creation and file plan
creation/administration
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• Remove and destroy, back-up, recovery and roll-back support
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Declare and classify
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Create file plans with any number of record categories or folders and assign
disposition schedules
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Declare records by assigning them to appropriate record categories or folders
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Prohibit changes or deletions once content items are declared records
Receive notifications when documents are added, modified or declared a record
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Retain and enforce
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Track user access
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Record system activity
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Trace executive, legal and tax workflow approvals
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Track all file plan changes and updates
View and print file plan information
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Benefits
The Records Manager system enables you to:
• File and manage electronic and non-electronic records including emails, scanned
records, paper-based records located in folders, boxes, containers, etc.
• Manage the life cycle of records – when the record is created, archived, transferred,
destroyed, etc.
• Manage objects associated to managing the life cycle of records such as triggers and
periods. Triggers are important events that affect the life of records and periods are
units of time related to the retention of records.
• Manage the security associated with record objects
• Process actions when triggering events occur such as archive, transfer, move, and
destroy.
• Search and retrieve records based on metadata and full-text search.
• Search and retrieve records based on disposition criteria.
• Log all activities performed as part of managing records.
Benefits for the Business User

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The Stellent Records Management solution provides unique records management
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applications, such as Microsoft® Office, IBM® Lotus SmartSuite, Sun
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capabilities that enable business users to continue using their standard business
StarOffice™ and Autodesk AutoCAD® to author content.
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Business users can easily contribute and access these secured files from their
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favorite Web browser or Windows Explorer interface.
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Business users can easily search and retrieve content such as draft policies and
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procedures, published content, recorded seminars and business records from a
single point of access.
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Benefits for the Records User

Stellent Records Management offers a common user and administration
experience. The ability to create and administer documents, records and Web
content within one application via a single user interface simplifies the
administration experience, eliminates costs related to training and integration with
third party products and repositories, and lowers the total cost of ownership.
Organizations can manage records along with the rest of their enterprise content
or deploy a stand-alone records management solution.
• Able to classify any piece of content as a record.

• Automatically define records using criteria — also known as “implicit” records
management.
• Easily include e-mail and e-mail attachments in the records management process.
• Automate the workflow process while maintaining preferred level of manual
review.
• Use the same browser-based interface to create and administer file plans.
• Search, view and print audit trail information and file plan details right from the
•
Web browser.
Generate sophisticated reports on retention schedules and file plans.
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•
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Reinforce user awareness that their content and e-mails are considered records.
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Types of Records
Depending on your business requirements, records can be divided into several
categories within the Records Manager system. Metadata fields have been added to
help organize and categorize the different types of records.
Type Description
Internal and External An internal record is an electronic record stored within Stellent
Records Manager.
An external record can be in a variety of formats, either physical
or electronic. If the source file is not specifically stored in Stellent
Records Manager, then it is considered external.
• You can use Records Manager to track and search
metadata associated with the external file, including
disposition schedules, and can even manage an electronic
rendition of an external file.
• You can check in an electronic rendition as a primary file
of an external record, or file the record as a separate file,
and then link to the external file metadata.
Classified, Unclassified, Records can also be classified, unclassified, or declassified.

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and Declassified
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Classified records are records that require protection against
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unauthorized disclosure. For example, records that contain
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information sensitive to the national security of the United States.
Unclassified records are records that are not and have never been
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classified. Declassified records are records that were formerly
classified, but whose classified status has been lifted.
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Non-Permanent,
Permanent, and Vital
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For disposition purposes, records are categorized into non-
permanent records, permanent records, and vital records. Most
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records fall into the temporary category. Non-permanent records
are usually destroyed after a retention period. Permanent records
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deemed for continued preservation are retained indefinitely. A
smaller percentage of records are warranted as permanent or vital
n a e records. Vital records are essential to continued operations for an
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organization.
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Basic Records Manager Concepts

The following concepts are important in the context of Records Manager. Each of these file
plan components or subjects will be discussed in greater detail in the following lessons.
Record
A record is any content item whose disposition and location must be tracked and
maintained according to an organization’s requirements. More formally, the
Federal Records Act, which governs the records management responsibilities of
US government agencies, defines records as follows:
“Records include all books, papers, maps, photographs, machine-readable

materials, or other documentary materials, regardless of physical form or
characteristics, made or received by an agency of the United States Government
under Federal law or in connection with the transaction of public business and
preserved or appropriate for preservation by that agency or its legitimate
successor as evidence of the organization, functions, policies, decisions,
procedures, operations, or other activities of the Government or because of the
informational value of the data in them.”
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Records Folder
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A records folder is a collection of similar records in the records file plan. This
other records folders.

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allows records to be organized into groups. Records folders can be nested within
Records Category
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A records category is a set of security settings and disposition instructions in the
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records file plan. A records category may contain one or more records folders,
which then typically follow the security settings and disposition rules associated
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with that records category. Records categories cannot be nested within other
records categories.
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Records Series
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A records series is a collection of records categories in the records file plan. This
allows categories to be organized into groups, because they relate to a particular
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subject or function, result from the same activity, document a specific type of
transaction, take a particular physical form, or have some other relationship
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arising out of their creation, receipt, maintenance, or use. This is especially useful
if you have a multitude of records categories. Records series may be nested within
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1-7
Records File Plan

The records file plan is the collective set of the records series, categories, and
folders contained in a hierarchical structure.
Disposition
Dispositions are the actions taken on records, usually for records no longer
required for conducting current business. Disposition actions include activities
such as transfer to storage facilities or Federal records centers, the disposal of
temporary records, and the replacement of vital records with updated information.
Disposition is the last stage of three stages (creation/receipt, use and maintenance,
disposition) in the records life cycle.
Disposition Instruction
A disposition instruction is created within a records category, and typically
consists of one or more disposition rules, which define who has access to records
and what actions should be taken on records (for example when and how a record
should be disposed).
Period
A period is the segment of time that must pass before a review or disposition
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action can be performed. Records Manager comes with a number of built-in
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periods (for example, “one year”). You can create custom periods to meet your
unique business needs.
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Trigger
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A trigger is an event that needs to take place before a disposition instruction is
processed. They are associated with disposition rules for records categories.
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Examples of triggering events include changes in record state, completed
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processing of a preceding disposition action, and retention period cutoff.
Record Link
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A record link is a defined relationship between records. This may be useful when
records are related and need to be processed together.
Classification
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A classification specifies the security level of a classified record. It is used in the
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process of identifying and safeguarding records that contain information sensitive
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to the national security of the United States. Typical classification levels are “Top
Secret,”, “Secret,” and “Confidential,” and “Unclassified.”
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Classification Guide
A mechanism that defines default values for a number of classification-related
metadata fields on the content check-in page for records. This enables convenient
implementation of multiple classification schemes in Stellent Records Manager.
Supplemental Marking
Supplemental markings are extra attributes associated with a record. They can be
used to clarify document handling in addition to standard document
classifications, and also as a security feature to further restrict users from
accessing records folders and records. Supplemental markings can be set at both
the records folder and record level.
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Security Overview
Security plays an important role in protecting and managing records. Security defines
who can view and check in records and who can take actions on a record.
Stellent Content Server provides a core security feature to assist organizations in

implementing and enforcing security on records.
Permissions
Records are checked in and stored in the records file plan. The permissions a user
has to the file plan hierarchy depends on the role assigned to you by the
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administrator.
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The following predefined roles describes the three types of records users.
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Default Roles and
Permissions
Description
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rma
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A person assigned the rma role is a basic record user. A person can
rmaprivileged
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view and create records to which they have access.
A person assigned the rmaprivileged role can view and create records
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to which they have access.
l & On • They can also perform some additional administrator

functions, such as creating records folders, triggers, and
n a e Supersedes links. See the Records Manager Administration
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Guide for additional information.
rmaadmin
t e U sA person assigned the rmaadmin role has full administration rights.
This person is responsible for implementing a security model,
I n developing the file plan, defining disposition schedules, screening for

records, and generating reports.
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Class Security Example

The administrator creates each user and defines the permissions each user has in
the Records Manager system.
Three users have been set up for training purposes with the usernames;
records_filer, records_privileged, and records_admin. The following diagram
depicts their security permissions.
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Although it appears the records_filer and records_privileged users have the same
exact permissions, the privileges to the system are different.
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TIP O ly
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The records administrator can edit the permissions given on each
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predefined role or create additional roles with specific permissions.
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1-12
2
Accessing Records Manager
Objectives
By completing the activities in this lesson, you will demonstrate the skills needed to:
• Access Records Manager
• Understand the interface
• Navigate
• View on-line help
•
•
View your user profile and understand your personalization options
Personalize your portal page
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2-1
Accessing Records Manager
To access the Records Manager system:

1. Open your browser.
2. Enter your organization’s URL for Records Manager.
TIP For class purposes, Internet Explorer’s home page has been set to the
Records Manager URL address.
Records Manager Guest Portal Page

The Guest Portal Page is the only static page in content server. After you log in,
the page is considered the Login Portal Page.
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A Guest User
is a user that
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does not log in
to the system.
A Guest User
has access to
A c
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Public content
only.
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A Guest User
has access to
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Search links to
search for
Public content.
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Lesson 2: Accessing Records Manager
Logging in to Records Manager

A user must log in to Records Manager to:
• View records
• Check in records
• Maintain records
• Access the administrative tools
Your ability to perform each of these functions is dependent upon the level of access
assigned to you by the administrator.
To log in to Records Manager:

1. Click the Login link on the guest portal page.
For class purposes, we

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will first log in as a basic
record user.
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User Name=
records_filer and
Password=idc.
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Username and password
are case sensitive.
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2. Type in your username and password.
3. Click OK.
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TIP
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After you have logged in for the first time, you become authenticated
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and will not be asked to log in again during this browser session.
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Records Manager Standard Home Page

The Home page is displayed when you first log in, and you can return to the
Home page anytime by clicking the Home link.
• The Home page typically includes the tray navigation, the top toolbar, and
other page content and functions as determined by your system administrator.
Tool bar
Portal
Navigation
A Customized Records Manager Interface

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Records Manager’s interface is highly customizable, so your content server web
pages might look different than those described throughout this course workbook.
•
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For example, you may see special colors, icons, and logos, or your system
administrator may choose to add, change, or hide functions on certain pages.
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Interface Overview
There are two main interface features in Records Manager:
• Toolbar – The toolbar is displayed at the top of all Record Manager web pages. It
contains some of the same navigation links as the Portal Navigation and provides
access to the online help system.
• Portal Navigation – The portal navigation is displayed on the left side of all Records
Manager web pages. This is your primary navigation tool, and it can be personalized
with functions you use often, such as predefined searches and links to your favorite
web sites.
Tools Description
Home Displays the home page.
Search Displays the Search page where you can conduct full-
text and metadata searches.
New Check In Displays the Content Check In page, which is used to
check in new files (records).
My Profile Displays your User Profile page.
• Enables record users to customize their
navigation and color scheme, the check-in, and
search pages.
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Help Displays online help.
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Portal Navigation Description
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My Stellent
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Expands to display links to Personal URLs, Saved
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Queries, User Profile, Checked-out Content, Workflow
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Assignments, and Subscriptions.
•
O ly Displays record users pending vital folders,
pending vital records, and pending events.
l & On • Displays My Check In Templates where you
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can create templates for your check in pages.
Browse Content
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Expands to display the Records File Plan set up by the
records administrator.
Search
n t e U Expands to provide several options for finding content
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Content Management Expands to display links for managing content, such as
ac New Check In, Checked Out Content, My Checked-out

Content, Work In Progress, Active Workflows, and
O r Expired Content.
2-5
Help
An online HTML help system is available in Records Manager. Help provides three
tabs to help you locate your topic:
• Content tab
• Index tab
• Search tab
If you are logged in with user privileges, you will only see the end-user help system.
If you are logged in as an administrator, you will see the full administrator help
system.
To access help:
1. Click the Help link on the toolbar.
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TIP
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Quick Help buttons are available on certain pages and screens where you
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can view context-sensitive help for that page or screen.
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You can also hover the cursor over certain field labels in your web
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User Profile
The My Profile link takes you to your User Profile page where you can change
information about yourself, change the navigation and color scheme of the Records
Manager interface, or personalize your check in, content information, and search
pages.
Users that have permissions to review and take actions on records can specify an
alternate reviewer when out of the office.
The User Profile page provides access to these specific user functions:
• Subscriptions for ‘user’
• Workflow in Queue for ‘user’
• Portal Design for ‘user’
• Folder Configuration for ‘user’ if the folders component has been enabled by your
administrator.
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To access your user profile:

1. Click the My Profile link in the toolbar.
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Customize
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what metadata
you want
displayed on
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the Content
Info and Check
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In page.
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Customize how
your search
results appear
on the Search
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Result Page in
this section.
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2. Make any desired changes.
c l 3. Click the Update button.
r a TIP Users that have permission to review and take action on records will
O have an additional Alternate Reviewer metadata field available to them.
2-8
User Personalization Setting

User Interface – Layouts and Skins
A layout provides the navigation structure of the interface where a skin provides
the look or color scheme of the layout.
The following tables list the out-of-the-box layouts and skins:
Layouts Description
Trays High-level navigation occurs through navigation trays. Default layout
upon installation. Frame-based.
Top Menus Provides an alternate look with top menus providing navigation. Not
frame-based.
Classic Included to provide compatibility with older browsers. Based on the
original core code.
Skins Description
Stellent05 Stellent Web site colors are applied to the layout. Default skin.
Stellent Stellent branding and colors are applied to the layout, which are shades
Collegiate
of green and tan. Default skin upon installation.
Provides an alternate to the standard Windows style and the default
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Stellent style. Includes shades or dark green and black.
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Windows
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Standard Windows-style graphics and colors are applied to the layout,
which are shades of blue and gray.
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TIP 1
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For training purpose, the default layout and skin will be used. The course workbook
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screen captures and procedures are based on using the defaults.
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Search Results Page – Search Templates
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A search results template determines how content displays on the search results
page. You can choose from several templates or create your own.
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Metadata Display
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In the metadata display area, you can click the Customize Content Info and
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Customize Check In links to choose what metadata you want displayed on those
pages.
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Ora TIP 2 Customizing the Content Check In, Content Information, and Search pages will be
covered in the Customizing Your User Interface lesson.
2-9
Activity A: Starting Records Manager
Start a browser session and log in to Records Manager. For class purpose, Internet
Explorer’s home page has been set to the Records Manager URL address.
1. Log in with a username of records_filer and password of idc.
Activity B: Navigation and On-Line Help
Access Help in Records Manager.
1. On the Contents tab, click the Records Manager link. Name two links located underneath
Browsing the Records File Plan.
___________________________________
___________________________________
2. Name two subjects underneath the Customizing Your User Interface.

___________________________________
___________________________________
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3. Close Help.
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Activity C: Logging in with different permissions
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1. Currently you are logged in as the records_filer user. Does an administration tray
appear in the portal navigation? ________________________
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2. Close your current browser session.
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3. Log in with a username of records_privileged and password of idc.
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4. Does an administration tray appear in the portal navigation?______________
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5. Expand the administration tree objects to view what administration areas
records_privileged user has access. List the links.
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____________________
U s __________________ __________________
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6. Close your browser session.
7.
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Log in with a username of records_admin and password of idc.
8. Does an administration tray appear in the portal navigation?______________
Ora 9. Does records_admin have more administrative privileges than records_privileged.

__________________________________________
2-10
Activity D: Viewing Your User Profile
1. Log in as the records_filer user again. User name=records_filer and password=idc.

2. View your User Profile.
3. What user specific information items can you access at the bottom of your User Profile?
_____________________ _______________________
_____________________
Activity E: Changing Your User Profile
1. Change your layout to Top Menus and your skin to Windows.

2. View the interface changes.
3. Change your layout back to Trays and your skin to Stellent. The default layout and skin
is used throughout the course workbook.
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2-12
3
Browsing the File Plan and

Viewing Information
Objectives
• Understand the file plan
•
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Browse the file plan
View file plan component information including series, record category,
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disposition instructions, record folder, and record information.
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View a records folder and records life cycle, review history, metadata history,
and classified metadata history information.
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3-1
The File Plan

A records file plan is an organized hierarchy of folders. A records administrator
creates a file plan enabling record users to check in records into the appropriate folder
in the file plan. A file plan hierarchy consists of three objects:
• Series
• Record Categories
• Record Folders
File Plan Object Description
Series Series are optional top-level nodes (folders) that can be nested to
help in the organization of your file plan. A series is similar to a
container.
Record Category A record category is a required folder that defines the security
settings and disposition instructions for records and any folders
it contains.
•
•
Record users can check records into a record category.
A record can only be checked into one category, not
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multiple categories.
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Record Folder
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Record folders and subfolders are optional folders that organize
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similar records within a record category. A record folder
inherits its disposition instructions and security instructions from
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the parent record folder or category, but can have separate
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disposition instructions.
•
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• A record can be checked into one or multiple folders.
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Records
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Records can be filed into either a record category or record folder, not a series.
The disposition of a record is determined by the category into which it is filed.
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The security access and status of the record (such as whether or not the record is
vital or permanent) is determined by the category or folder into which it is filed.
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3-2
Lesson 3: Browsing the File Plan and Viewing Information
Browsing the File Plan

You can browse content and navigate the hierarchy in the Records File Plan using
various techniques. You can navigate by clicking any of the following:
• objects within the Browse Content tray
• breadcrumb trail left by navigating the levels within a file plan hierarchy
• record object names (Series, Categories, and Record Folders) found in a search result,
which is covered in a later lesson
Viewing Information
As you browse the file plan, you can view information about each file plan object and
record. The security configuration determines what file plan objects you can view.
You can navigate and view information on the following:
• Series Information
• Category Information
• Disposition Information for a Records Category and Folder
•
•
Records Folder Information
Records Information
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The security configuration determines what file plan objects you can
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view. By deault, a basic records user cannot view the life cycle,
review history, and metadata history of a Records folder. The
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instructor will log in as a records_admin to show the information.
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3-3
To browse the file plan:

1. Click the Browse Content tray.
2. Click (+) to expand the Records File Plan tree.
3. Click the (+) sign to expand any file plan component.
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4. Click directly on the link of a file plan object to view in the right-hand-side frame.
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Click the List
Records link to
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view records
located in the
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file plan object.
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TIP When you click the objects in the Browse Content tray, the tree
r a expands or collapses. Click the link name in the browse content tray
or on the Exploring pages to navigate to a child object.
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3-4
To view series information:

1. Navigate the file plan to display the series in the Exploring Series page.
2. Click the Info icon for the desired series.
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3. Click OK.
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3-5
Records Category Information

You can view the file plan information for a category and a category’s disposition
instructions.
To view record category information:

1. Navigate the file plan to display the category in the Exploring Category page.
2. Click the Info icon for the desired category.
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3-6
To view disposition information for a records category:

1. Navigate the file plan to display the category in the Exploring Category page.
2. In the row for the records category, select Disposition Information from the Actions
drop down menu.
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3. Click OK.
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In this example, records checked in to the General Ledgers category
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will be cut off at the end of the calendar year, retained for 50 years,
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3-7
Record Folder Information

You can view the following information about a records folder:
• Records folder information
• Life cycle
• Review history
• Metadata history
The information displayed on the Records Folder Information page depends on

your configuration and whether optional fields were populated. The following is
a list of information available on the page:
• Filer
• Records folder identifier, name, and description
• Records category identifier
• Folder processing status, such as whether the folder is cut off, closed, or frozen
•
•
Whether the records folder is an external folder
Vital record information
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• Date processing information, such as date reviewed and date expired
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•
•
Inherited information from parent
Security permissions
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3-8
To view record folder information:

1. Navigate the file plan to display the folder in the Exploring Record Folder page.
2. Click the Info icon for the desired record folder.
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3-9
To view the life cycle, review the history, or view the metadata
history of a records folder:
1. Navigate the file plan to display the folder in the Exploring Record Folder page.

3. Select the desired option from the Actions drop down menu.
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Action r a Description
Life Cycle O ly Enables you to view the disposition schedule for a records
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disposition processing starts and the folder cannot be
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Recent Reviews
U s Enables you to view a list of users that marked the record

folder as reviewed and the date the folder was reviewed.
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Metadata History Enables you to view the history of metadata changes.
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review, and metadata history information.
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3-10
Record Information
You can view the following information about a record:
• Records information
• Life cycle
• Review history
• Metadata history
The information displayed on the Record Information page depends on your

configuration and whether optional fields were populated. The following is a list
of information available on the page:
• File plan information such as processing and security information including its
place in the file plan.
• Record information such as title, filer, and publication date.
• Links to related records.
• Revision history of the record, which typically does not change for records.
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3-11
To view record information:

1. Navigate the file plan to display a category or folder where records exist.
2. Click the List Records in “category name or folder name” link.
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3. Click the Info icon for the desired record.
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The File Plan
Information
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area provides
processing and
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security
information
about the
record.
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3-12
Classification
metadata is
optional and
only appears if
enabled upon
installation of
Records
Manager.
The Records
Information
area provides
filing
information
about the
record
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The Links area
provides links
to the native
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and web-
viewable record
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files as well as
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a number of
records
management
links.
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The Revision
History area
provides
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information
about the
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revision history
of a record.
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generally have
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revision.
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view the metadata history, or view the classified metadata history of a record.
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3-13
Activity A: Browsing the File Plan and Viewing Information

2. View the Insurance series information.
3. What is the name of the series name? ____________________________
4. What is the name of the series identifier? ____________________________
5. View the Claims category information located underneath the Insurance series.
6. What is the name of the category name? __________________________
7. What is the name of the category identifier? ___________________________
8. Is the Claims category a vital category? __________________
If so, what is the vital review period? _______________________________
9. Is the Claims category a permanent category? ____________________
10. Describe the disposition instructions of the Claims category? ____________________
_________________________________________________________________
11. View the records located in the Claims category.

12. How many records are located in the Claims category? _______________
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13. Are these records vital? ____________________
14. Log in with a username of records_admin and password of idc.
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15. View the life cycle of the General Accounting – Ledgers – Trial Balances – 2003 folder.
16. What is the life cycle?
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17. View the Recent Reviews.
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18. When was the record folder initially filed? __________________________________
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the life cycle and recent reviews? _________________________
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3-14
4
Checking In Records
Objectives
• Check in a record using the Check In Form
• Check in a record from within the file plan hierarchy
• Mark an existing content item as a record
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4-1
New Record Check In

There are multiple methods to check in a record with Records Manager. They are:
• from the content check in form found on the main content server menu,
• from within the Records Manager file plan hierarchy, and
• marking an existing content item as a record.
Depending on your system setup and architecture, you can setup the system where
users can use their standard business applications, such as Microsoft® Office, IBM®
Lotus SmartSuite, Sun StarOffice™ and Autodesk AutoCAD® to contribute content
into Records Manager directly from those applications.
Through email integration, emails can also be checked into Records Manager from
the email application.
Metadata
What is metadata?
Metadata is information about a record, such as Title, Author, and Security
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Group. Records Manager uses metadata to describe, find, and group content
items.
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How does a content item get assigned metadata? c a
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Users provide metadata when they check a file in to the content server.
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Some metadata fields are required (for example, Content ID, Type, and Title).
Some metadata fields are optional (for example, Comments and Expiration Date).
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Some of the fields may have default values (for example, Release Date, which
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defaults to the current date and time).
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4-2
Lesson 4: Checking In Records
Why is metadata so important?

It is important that your organization create a metadata model based on your
company’s business needs.
The Records Manager application contains numerous metadata fields to help

organize, categorize, and secure records.
Metadata is important in many situations, and listed below are some examples:
• Metadata enables business users to easily find content items in the content server,
much as you would search for books in a library by Author or Subject.
• Metadata can trigger disposition rules for records.
• Metadata can define what content enters a workflow process. For example, if it
is necessary for all of Acme’s finance policies go through an approval process, a
workflow defined with the appropriate metadata can be set up to drive those
items into an approval process.
• If using Stellent’s Web site generation tools in conjunction with Stellent Content
Server, metadata can define what content is published to an intranet, internet, or
extranet Web site. Not only does metadata define what content is published, it
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can define where in a site it’s published to.
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It is important that you understand your organization’s metadata fields and
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assigned metadata properly. Proper metadata makes content items easier
to find, and ensures that only users who have the proper permission can
access a content item.
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Metadata Field Descriptions

Record Metadata Description
Is Record Indicates the content item is to be marked and handled as a record.
*Record Activation Date The date the record is activated.
*Record Expiration Date The date the record expires.
*Delete Approve Date The date after which the record can be deleted.
Originating Organization The official name or code that identifies the office responsible for creating
the record. The records administrator must populate this list.
Record Format The format of the record you are filing. Options are designated by your
system administrator.
Supplemental Markings Select one or more supplemental markings that are applied at the record
level. Supplemental marking further secure the record. Only users assigned
the supplemental marking will have access to the record.
Audit Fields Description
Subject to Audit Specifies that the record is subject to audit and is included in the recurring
audit approval trigger. Selecting this check box enables the Audit period list.
Audit
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If the record is subject to the Audit Approval built-in recurring trigger, select
the period from the list.
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Vital Fields Description
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Vital
a
Designates that the record is a vital record. Vital records are defined by your
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organization as needing to be reviewed by a specific person within a
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and Vital Period fields. A
specified time frame. Selecting this check box enables the Vital Reviewer
Vital Reviewer
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A list of people, defined by your record administrator, who have access to
Vital Period
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this record. The reviewer receives notifications for reviewing vital records.
Select the vital period from the list.
External Fields
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Description
External
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Indicates whether a record is a physical record external to the records
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management system. Selecting this check box enables the other External
Location and External Container fields.
External Location
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Describes the location of the physical record, such as "Warehouse A".
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External Container Describes the location of the container of the physical record, such as "File
e I Cabinet 56, Row WW".
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Media Type Describes the material on which the information is inscribed, such as
microform, hardcopy paper, film, audio tape, etc.
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*These date fields are frequently used as trigger dates. You can create disposition/
O retention rules that trigger on these dates without configuring the system.
4-4
Records Manager also comes with pre-configured disposition actions that can be used in
disposition rules. These actions include Close, Destory, Expire, Move, Obsolete, etc.
Classified Fields Description

Classifying agency Executive agency classifying the record. For example, the President, agency
head and officials designated by the President, and so forth.
Classified by Person classifying the record. This is required if Classification Derived from
is not populated.
Classification Derived Classification Guides from which the classification of the records is derived.
from This is mandatory if the Classified by field is left blank. If this field is used,
suggested values for the following fields are displayed automatically to
facilitate uniformity, but you can change them:
• Initial classification
• Reason(s) for classification
• Declassify exemption category
• Declassify on event
• Declassify on date
Derived from topic Topic associated with a classification guide that is used to derive
classification. This is an option list whose values are dependent on the
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presents the description of the selected topic.
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Classification Derived from field. The information icon to the right of the list
Initial classification
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Classification at time of record creation. Required for classified content. This
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is entered automatically if the classification is derived from a source,
multiple sources, or a topic. The available options include:
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• Top Secret
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Secret
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Confidential
• No Markings
•
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Any custom classification as defined by your organization
Reason(s) for
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Specification for classification. Required if Classified by field is populated;
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classification
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otherwise, optional. This is entered automatically if the classification is
derived from a source, multiple sources, or a topic. This is an automatically
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populated custom option list with values varying by organization.
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Declassify exemption A category that exempts the record from being declassified after the standard
category
c l e declassification period (as defined by the records administrator; typically 10

years)—for example, reveal an intelligence source, compromises US military
plans, etc.
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Metadata Field Descriptions

Classified Fields Description
Continued
Declassify on event An event triggering the declassification of a record automatically. Classified
content requires Declassify on event, date, or both fields to be completed.
This may be entered automatically if the classification is derived from a
source, multiple sources, or a topic.
Declassify on date A date triggering the automatic declassification of a record. This may be
entered automatically if the classification is derived from a source, multiple
sources, or a topic.
Downgrade instructions Instructions on how a record can be downgraded if it is subject to
downgrading. This is required if there is a Downgrade on event or
Downgrade on date or a combination of both.
Downgrade on event An event triggering the automatic downgrading of a record classification.
Downgrade on date A date triggering the automatic downgrading of a record classification.
Category/Folders Description
Fields
Category or Folders
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The records category or records folder in which the record is to be filed.
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Standard Content
Server Fields
Description
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Content ID
a
A unique identify for the content item. The administrator can choose to have
the field auto generated by the system.
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Type
A
The type of the file. The administrator must prefill the type options.
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Title
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A descriptive name identifying the content item.
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Filer
Security Group
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The user who created or revised the content item.
A group of files with the same access permissions. For records, select the
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security group RecordsGroup unless specified otherwise by your
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organization.
Account
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An identifier that specifies access permission to the content item.
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Primary File
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The path and file name of the native file being checked in.
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Alternate File Field The path and file name of an alternate web-viewable file or a file that can be
Revision
I n t U
converted to a web-viewable format.
The revision increments automatically with each check-in of the content
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item, so generally, you should not change this value. Most records do not
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Comments
Custom
Additional notes about the file.
Any custom fields for your system are displayed on this page.
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4-6
Correspondence Description
Fields
Is Correspondence Enabling this check box displays additional metadata fields. Used if a record
is an e-mail being checked in via Outlook Integration.
Author or Originator Specifies from whom the e-mail record was sent. If the Is Correspondence
check box is disabled, enter the content author or record originator.
Addressee(s) Specifies to whom the e-mail record was sent.

Other Addressee(s) Specifies any additional people who were copied on the original e-mail
record.
Email Subject Displays the subject line of the original e-mail.
Email To Lists Displays any alias lists used in the original e-mail record.
Date Fields Description
Received Date Displays the date an e-mail record was received.
Publication Date Displays the date an e-mail record was initially sent.
Release Date The date and time that the revision is available for viewing in Stellent
Records Manager.
•
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Expiration Date
Defaults to the date and time the file is checked in.
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The date and time that the revision will no longer be available for viewing in
differs from the Record Expiration Date.

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Stellent Records Manager. This is the expiration date for content server and
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4-7
To check in a record using the Check In Form:

1. Click New Check In link in the toolbar or from the Content Management tray.
2. Check the Is Record check box.
Designates the
item as a record.
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The numerous
classification fields
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only appear if your
administrator has
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enabled
Classification
Security. If
enabled, several
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classification fields
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are required upon
checking in the
record.
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3. Complete required metadata fields, denoted by red text and an * asterisk.
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4. Select the appropriate value from the Originating Organization drop down menu.
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5. Click Browse next to Category or Folders to navigate to and select the location in
the file plan hierarchy where the record will be checked in.
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6. Select a type from the Type drop down menu.
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7. Type in a title for the record in the Title field.
8. Leave the default Security Group as RecordsGroup unless advised otherwise by
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your organization.
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9. Click Browse next to the Primary File field to navigate to, locate, and select the
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organization. For example, if the record is designated as vital, external, or classified,
O complete those fields. If Classified, these fields are required.

11. Click the Check In button.
4-9
To create a record within the file plan hierarchy:

2. Expand the Records File Plan link.
3. Navigate to the category or records folder by expanding or collapsing items.
4. Select Create Record from the Actions drop-down list.
5. Complete the required metadata fields, denoted by red text and an *, and any other
desired metadata fields.
6. Click Check In.
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To mark an existing content item as a record:
1. Browse to the content item's Content Information page.
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2. Select Update from the Actions drop-down list.
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3. On the Info Update Form, check the Is Record check box.
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4. Complete any desired metadata fields.
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5. Click Browse for the Category or Folders field and choose the category or folder in
which to file your record.
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6. Click Submit Update.
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4-10
To check in an email as a record from Microsoft Outlook:

1. Highlight the email that is the record.
2. Click Checkin Mail Item in the Outlook Integration toolbar.
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Correspondence
All
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(Email) fields
automatically
populate from the
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email itself.
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4. Click Check In.
4-11
Activity A: Create a Record from the Main Menu
1. Navigate to the New Check In page.

2. Check in the Posting_Recruiter.pdf file as a record using the following metadata.
Originating Organization = Human Resources
Record Format = Text
Category or Folders = Personnel > Job Postings
Type = Records
Title = Staff Resource Recruiter
Filer = records_admin
Security Group = RecordsGroup
Activity B: Create a Record from Records Manager
1. Navigate to the General Accounting > Payroll series and the Checks category.
2. Check in the Check_3.pdf file as a record using the following metadata.
Originating Organization = Accounting
Record Format = Text
Type = Records
Title = Check Number *4587
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Filer = records_admin
Security Group = RecordsGroup
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Activity C: Mark an Existing Content Item as a Record
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1. Search for the document titled, Nora Jones Application. Update the document and mark
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it as a record. Complete any required record metadata values.
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4-12
5
Searching for Records
Objectives
• Browse the records file plan
• Perform full-text searches
• Perform metadata searches
• Change search results display
• Save frequently conducted searches
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•
•
Save search results
Freeze search results
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5-1
Searching in Records Manager

Records Manager offers multiple methods to search for records:
• Browse the Records File Plan
• Conduct full-text searches
• Conduct metadata searches
• Conduct combined full-text and metadata searches
Browsing the Records File Plan

You can browse content and navigate the hierarchy of the Records File Plan. Your
permissions and security configuration determine which portions of the file plan
you are able to view. These procedures were covered in a previous lesson.
To search for content by browsing the file plan:

2. Expand the Records File Plan link.
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3. Click on a desired link or expand a folder to continue looking for content.
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5. View the content by clicking the Content ID link in the ID column.
5-2
Lesson 5: Searching for Records
Conducting Full-text and Metadata Searches

The advanced search page provides the most comprehensive way to search for
records enabling you to conduct full-text and metadata searches.
To access the advanced search page:

1. Click the Search link in the toolbar.
The Show/Hide
toggles enables you
display different sets
of metadata.
Metadata search
area
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display options.
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Full-text Search
Full-text searching enables you to find a content item based on the text contained in
the file itself. By default, metadata fields are not full-text searchable.
A full-text search expression can include the following elements:

• Strings—partial words (such as proc)
• Words—individual whole words (such as procedure)
• Phrases—multiple-word phrases (such as new procedures)
• Operators—logic applied to words and phrases (such as instruction AND procedure)
TIP Stellent Content Server supports different full-text search engines: Verity,
FAST, database search, and Tamino. Full-text case sensitivity issues and the use
of wildcards and operators may differ depending on the search engine you use.
Refer to the Stellent’s Using Content Server guide or on-line help for detailed
differences of each search engine.
Understanding Full-text Searches

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Stellent Content Server uses standard queries to perform full-text searches.
Queries use a word or phrase as a basis for performing a search. Refer to the
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elements below to create queries.
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Search Element Description
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Text
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Text entered without quotation marks returns the word you enter as well as its
stems.
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•
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For example, searching for the word maintain returns content with
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the words maintain, maintaining, maintains, and maintained.
“text” Text entered in quotation marks returns only that specific phrase.
•
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Entering “maintain” in the search field, for example, returns content
n a e containing that specific word or you can use the operator <WORD>.
Wildcards
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Stellent Content Server follows standards for the * (asterisk) and ? (question
mark) wildcards. Wildcard usage differs depending on the search index.
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I n • An asterisk represents zero or more alphanumeric characters. For
example, inter* will find all files that contain the word inter, such as
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Internet, interstate, and internal.
A question mark represents only one alphanumeric character. For
r a example, form? would return the word form and one character after
it, such as form or forms.
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5-4
Search Operators
The text AND and OR are treated as operators by default and do not require brackets.
All other operators must be placed in brackets < >. If you want to use and and or as
parts of a phrase, place them inside quotation marks. Operator usage differs depending
on the search index.
Search Operator Description

AND AND finds all files that contain all the specified words.
• For example, employee AND benefit would find all the files that
contain both specified words.
OR OR finds all files that contain at least one of the specified words.
• For example, firewall OR security OR virus would find all the files
that contain at least one of the words.
TIP Verity and Tamino search engines have case sensitivity issues. Full-text
searches are not case sensitive when entered in either all lower case letters of
all upper case letters. When entered in mixed case however, a full-text
search is case sensitive.
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If you enter…
form
the results contain…
form, Form, and FORM
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Form
FORM
Form
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form, Form, and FORM a
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To perform a full-text search:
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1. In the full-text search field, type the words or phrases, separated by commas.
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2. Click the Search button.
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5-5
Metadata Search
Metadata separates content into logical areas so that it is easy to search for content
once checked in to Records Manager. Records Manager uses metadata to
describe, find, and group content items.
There are two entry options for metadata fields:
• Choosing an entry from a drop-down list

• Typing a value in the text area
This field enables

you to select from
a drop down
menu.
This field requires

you to type in a
value.
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5-6
Metadata Search Operator Descriptions

Search Description
Operators
Substring Automatically inserts a wildcard asterisk * before and after the typed value.
• Example: Entering form will return such matches as performance,
forming, and perform, as well as the word form.
Contains Does not place a wildcard before or after the typed value.
(Verity only) • Example: Entering form, will return Human Resources form, but will
not return e-form or Performance.
Matches Does not place a wildcard before or after the typed value. Selects all content
with an exact specified value in the metadata field.
• Example: Entering payroll change form in the Title field returns
content with the exact title of “Payroll Change Form.”
Has Prefix Finds items with the specified word or phrase at the beginning of the metadata
(Verity only) field. This has the same effect as placing a wildcard after the search term when
using the Contains operator.
Starts
Ends
Places a wildcard after the search value.
Places a wildcard before the search value.
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Not Substring
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Does not insert a wildcard asterisk * before and after the typed value.
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Not Matches
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Does not place a wildcard before or after the typed value. Selects content that
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does not match the specified value in the metadata field.
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To conduct a metadata search:
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1. Navigate to a metadata field.
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2. Select the metadata search operator.
Allows various
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3. Type a value or select a value from the drop down menu.
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search
operators.
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4. Repeat steps 1-3 for each desired field.
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5. Click the Search button.
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Understanding the Search Results Page

The Search Results page displays a list of content items that match the criteria
specified during a search.
• Click the Content ID link or thumbnail to view the content item.
• Click the Actions icon to perform an action on a content item.
• Click the Info icon to access the Content Information page for the content item.
The Content Information page displays the metadata assigned to the content item, a
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link to the web viewable and native file, and an action option list.
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5-8
Search Results Actions

The Search Results page contains actions enabling you to:
• Change the search results view to Classic, Headline, or Thumbnail view or customize
your own view
• Search within a search
• Save a search enabling quick access to the results of frequently used searches
• Save search results, which creates a report on the results of the search
• Freeze search results
TIP Actions performed on records and records folders are covered in the next lesson.
To perform a search results action:

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1. Conduct your desired search.
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2. On the search results page, click the Actions drop down menu.
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3. Select an action.
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5-9
Changing Search Results view

Each user can select from three search result templates in their User Profile,
which define how search criteria display. In addition, users can change the
display view directly on the search results page.
• Users can also customize the My Headline View search results template in their
User Profile. This template enables each user to display the results as they wish.
Classic View
Click the
graphic link or
Content ID link
to view the
content item.
Headline View
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Click the
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Content ID link
to view the
content item.
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Thumbnail View
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Click the
thumbnail link
to view the
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content item.
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O ra To change the search results view:
1. On the search results page, select Classic, Headline, Thumbnail, or My View from
the Actions drop down menu.
5-10
Saving Searches
Frequently conducted searches can be saved for easy access under My Stellent –
My Saved Queries. Users can access My Saved Queries instead of completing the
Search page full-text and metadata fields.
To save a search:
1. Conduct a search.
2. On the search results page, select Save Search from the Actions drop down menu.
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3. Type in name for the query.
4. Click OK.
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5. Navigate to the My Stellent tray.
6. Expand My Saved Queries.
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5-11
To delete a saved query:

1. Navigate to your User Profile by clicking My Profile in the toolbar.
2. Click the Portal Design for ‘user’ button.
3. Click the Edit Saved Queries button.
4. Select the Delete check box.

5. Click the Update button.
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TIP
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If the Show Default Query box is checked, the selected Default query
will appear at the bottom of your home page.
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5-12
Saving Search Results

Records Manager enables you to save search results where a report is created
displaying data of the search. You can download the report to a storage location
or open the report for viewing.
To save search results:

2. On the search results page, select Save Search Results from the Actions drop down
menu.
Freezing Search Results

Freezing a record or records folder inhibits disposition processing for that record
or the records in that folder. This may be necessary to comply with legal or audit
requirements (for example, as a result of litigation).
The administrator must predefine freeze reasons that users can select from a drop
down menu when freezing a record or record folder.
Freeze search results freezes all records in the search results.

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To freeze a search result:
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A
2. On the search results page, select Freeze Search Results from the Actions drop
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down menu.
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3. Select a Freeze Name from the drop down menu.
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4. Type in a Freeze Reason.
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5-13
Activity A: Using the Records File Plan to Find a Record
1. Start a new browser session and log with a username of records_filer and a password of
idc. If you are already logged in as records_admin, you do not have to log in again.
2. Browse through the Records File Plan links and locate the Check Number *4587 record.
What folder and subfolder did you navigate through?
(Series) _________________ (Series)____________ (Category)________________
3. Navigate to the Insurance series, Claims category. How many claims appear? _________
Activity B: Using Full-text Searches
Conduct full-text searches in this exercise. View one of the content items to verify the
word is contained within the content.
1. Search for all content that contains the word payment.
How many results were returned? ____________
2. Search for all content that contains Payment.
How many results were returned? ___________
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3. Why did full-text searches #1 and #2 produce different results?
______________________________________________________________________
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Activity C: Searching for Content Using Metadata Fields
A c
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Conduct metadata searches in this exercise.
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1. Search for the content item with a Content ID of 000002.
What is the title of the content? __________________________________________
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2. Search for any record that is marked Vital.
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3. Search within this set of results for an Originating Organization of Legal.
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4. Search for content where the Title starts with a C.
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How many results were returned? _________
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5. Search for records with a Vital Reviewer of records_admin?
cHow many results were returned? ________
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Activity D: Content Information Page
1. Conduct a title search for Staff Resource Recruiter. This document was checked in
during the activities in a previous lesson.
2. View the Content Information page.
3. Record the values for the following metadata fields.
Originating Organization _____________________________
Vital Reviewer _____________________________
Media Type _____________________________
Activity E: Saving a Search
1. Conduct a search with a Vital Reviewer of records_admin.

2. Save the query with a name of My Vital Records to Review.
3. View the query on your portal.
4. Where do you need to navigate to delete the query?
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_________________________________________________________________
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Activity F: Changing Search Results Display
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2. Change the search results to Classic view.
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3. Change the search results back to Headline view.
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Activity G: Saving Search Results
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1. Conduct a search where Originating Organization = Human_Resources.
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2. Save the search results.
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3. Save the PDF report to the desktop.
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4. Open the report to view.
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6
Understanding Record Actions
Objectives
• Define standard content, record, and classified record actions
• Understand required permissions for actions
• Perform actions on records
• Freeze a record
• View freeze details
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6-1
Content Information Page – Viewing Information

The Content Information page displays information about a specific record. This
includes:
• Metadata assigned upon check in
• The persistent URL assigned upon check in and a link to the native file
• The revision history
• Link information to other records
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6-2
Lesson 6: Understanding Record Actions
Performing a Record Action Overview
Record Maintenance
Maintaining and processing records involves tasks such as moving records,
handling events such as cancelling, expiring, or rescinding records, or marking a
record as obsolete for any other condition. Other tasks associated with records
include removing a supplemental marking from a record or changing an existing
content item into a record.
Options for maintaining and processing records are accessible from the Actions
drop down menu on the Content Information page of a record.
Security
The actions available to you depend on your company’s defined security model.
By default, Stellent’s Records Manager ships with three predefined roles with
predefined rights of what a user can perform. An administrator can change these
roles as well as create additional roles. Security is discussed in detail in Records
Manager Administration training. However, general security information will be
given so all users understand that an underlying security model is in place.
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Record Actions c a
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You can perform an action on a specific content item. These actions include:
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Standard Content Actions Standard Records Actions Classified Records Actions
•
•
Update
Check In Similar r
•
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•
Freeze
Cancel
•
•
Review Classification
Upgrade Classification
•
•
Send link by e-mail
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Subscribe/Unsubscribe •
• Expire •
•
Downgrade Classification
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Obsolete Declassify
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• Rescind
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•
•
Mark Reviewed
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Delete Metadata
History
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Standard Content Item Actions

To perform these actions, standard Stellent Content Server security applies. Users
must have RW permission to the appropriate security group. Security is discussed
in detail in Stellent Content Server Administration training.
Standard Content Description

Item Actions
Update Displays the Info Update Page, which enables you to change the content
item’s metadata. You must have Record.Edit permissions to perform an
update. By default, only users with the rmaadmin and rmaprivileged
role have that right.
Check In Similar Displays the Content Check In Page with the current content item’s
metadata already filled in.
Send link by e-mail Opens your e-mail program with a new message that contains a link to
the URL (web address) of the web-viewable file.
Subscribe Displays the Subscriptions Page, which enables you to be notified of
new revisions to the content item. Typically not used for records.
Unsubscribe Cancels your subscription to the content item.
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Standard Record Actions – Basic Record Users
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By default, all users of the Records Manager system are able to perform the
following record actions. These record actions require Record.Read permission.
discussed in a previous lesson.

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All three predefined Stellent roles are given this permission. These actions were
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Standard Record
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Descriptiona
Actions
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Life Cycle
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Enables you to view the disposition schedule for a record. Once a record
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has been cut off, the disposition processing starts and the record cannot
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be edited.
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Recent Reviews Enables you to view a list of users that marked the record as reviewed as
t e s
well as the date the record was reviewed.
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Metadata History Enables you to view the history of metadata changes.
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Classified Metadata Enables you to view the history of classified metadata changes.
History
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Standard Record Actions – Privileged or Administrator Users

By default, only users given the rmaprivileged or rmaadmin role can perform the
following actions. In general, these actions require Record.Edit permission and
some may require additional permission.
Standard Record Description

Actions
*Cancel Use this procedure to cancel a record, either after receiving a notification
to do so (as part of a disposition instruction) or ad hoc. When a record is
cancelled, its status becomes obsolete.
*Expire Use this procedure to expire a record, either after receiving a notification
to do so (as part of a disposition instruction) or ad hoc. When a record is
expired, its status becomes obsolete.
*Obsolete Use this procedure to make a record obsolete for any reason other than
expiration, cancellation, or rescinding, either after receiving a
notification to do so (as part of a disposition instruction) or ad hoc.
*Rescind Use this procedure to rescind a record, either after receiving a
When a record is rescinded, its status becomes obsolete.
Mark Reviewed Use this procedure to mark a record as reviewed, either after receiving a
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Review Classification
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If Classification Security has been installed and enabled in your Records
a
Manager environment, use this procedure to mark a classified record as
Delete Metadata Deletes the metadata history for the record. A c

reviewed. Refer to the Records Manager System Administrator Guide
for more information on Classified Security.
History
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Move a Record
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Use the Update action to move a record to a different record category or
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record folder.
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*These four standard record actions make a record obsolete.
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Disposition instructions can be defined using record actions such as
cancel, expire, rescind, etc. For example, a disposition instruction may
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be defined as “Destroy the record when the record becomes obsolete”.
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Standard Record Actions – Record Administrator Users

By default, only record administrators given the rmaadmin role can perform these
actions.
Standard Record Description

Actions
Freeze Pauses any processing of disposition rules, which enables an extension
of retention periods. Records that reside in a frozen folder inherit the
frozen status from its folder, but they can also be frozen independently
of the folder usually with a different reason.
Delete Metadata Use this procedure to delete the metadata history of a record.
History
Remove Use this procedure to remove a supplemental marking from a record.
Supplemental
Marking
Undo Cutoff Use this procedure to undo (cancel) the cutoff of a record. After this
procedure, the record is no longer cut off and is available for disposition.
Delete a Record In the Revision History area, click Delete to remove a record or content
item. User must also have the proper Content Server Security.
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Classified Record Actions
Classified Record Description

Actions
Review Use this action to review the classification of a record, either after
Classification receiving a review notification (as part of a disposition instruction) or ad
hoc.
• By default, only users with assigned the predefined ‘rmaprivileged’
and ‘rmaadmin’ roles can perform this action.
Upgrade Class Use this procedure to upgrade the classification of a record. Upgrading the
classification of a record is rather rare; it is therefore typically an ad-hoc
action and not part of a retention instruction.
• By default, no users have this privilege. An admin must assign a user
this privilege.
Downgrade Class Use this action to downgrade the classification of a record, either after
receiving a review notification (as part of a disposition instruction) or ad
hoc.
• By default, no users have this privilege. An admin must assign a user
this privilege.
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Declassify
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Use this action to completely declassify a record, either after receiving a
d
review notification (as part of a disposition instruction) or ad hoc. If a
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record is exempt from declassification, you must enter an exemption
reason for the record. After a record has been declassified, access to that
any records user can view the record.
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record is unrestricted and in the absence of any other security restrictions,
•
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By default, only users with assigned the predefined ‘rmaprivileged’
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and ‘rmaadmin’ roles can perform this action.
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6-7
To perform an action on a record:

1. Conduct a search for the record.
2. Click the Info icon to access the record’s Content Information page.
3. Select the desired action from the Actions drop down menu.
TIP You can perform some Actions directly on the Search Results
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page in addition to the Content Information page.
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6-8
Freezing Records
Freezing a record or records folder pauses disposition processing for that record or
the records in that folder. Frozen records cannot be altered in any way nor can they be
deleted or destroyed. This may be necessary in order to comply with legal or audit
requirements (for example, litigation).
Records Manager supports the use of multiple freezes applied to a single record or
records folder. Therefore, records pertaining to multiple legal cases or audits can have
an individual freeze reason for each case or audit. When one case or audit is
complete, the freeze can be removed for the particular record or records folder. If
other freezes are still applied, the record will remain frozen. If other freezes are not
applied, disposition will continue.
Records or records folders can be frozen from these pages:

• Search Results Page
• Content Information Page
• Records Folder Information Page
TIP Out-of-the-box, users must have the rmaadmin role to freeze records or records folders.
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Freezing a Records Folder

Records and records folders that reside in a frozen folder inherit the freeze status
from their parent folder You can still navigate frozen folders within the Browse
Content area, check records into frozen folders, and perform any other edits as
allowed by your assigned rights.
To freeze a records folder:

1. Log in as records_admin user.
2. Navigate the file plan to display the folder in the Exploring Record Category page.
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4. Select Freeze from the Actions drop down menu. A
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5. Select a predefined freeze from the Freeze Name drop down menu.
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6. Type an optional freeze reason in the Freeze Reason text box.
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7. Click OK.
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Freezing One Individual Record

When records are frozen independently of the folder, usually a different freeze is
applied.
• For example, the folder for 2004 general ledgers could be frozen pending the
outcome of a lawsuit. In addition, an individual record within that folder may
also pertain to a current audit. The individual record would have two freezes
applied: one regarding the lawsuit (inherited from the folder) and another from
the audit (applied directly to the record).
To freeze an individual record:

1. Conduct a search or navigate the file plan to locate the record.
2. Click the Info icon for the desired record.

3. Select Freeze from the Actions drop down menu.
4. Select a predefined freeze from the Freeze Name drop down menu.
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5. Type an optional freeze reason in the Freeze Reason text box.
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6. Click OK.
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Freezing Multiple Individual Records
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Multiple individual records can be frozen at once from a Search Results page by
using the Freeze Search Results option. These procedures were covered in a
previous lesson.
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Verifying Freezes and Viewing Freeze Details

After a records folder is frozen, the Freeze Disposition field on the Records
Folder Information page is set to “Yes.” If an individual record is frozen, the Is
Frozen field on the Content Information page in the File Plan Information area is
set to “Yes.”
The Freeze
Disposition
field indicates if
a records folder
is frozen. Click
the Details link
to view more
information
about the
freeze. The Freeze Details
report shows the
freeze name,
reason, and where it
was inherited from.
This report can be
saved as a PDF.
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6-12
Activity A: Performing Record Actions
1. What four record actions make a record obsolete?

____________________________ ____________________________
____________________________ ____________________________
Activity B: Freezing and Unfreezing a Records Folder
1. Start a new browser session and log with a username of records_admin and a password
of idc. If you are already logged in as records_admin, you do not have to log in again.
2. Browse through the Records File Plan links and locate the folder for 2004 general
ledgers. What series and category did you navigate through?
(Series) ________________ (Series)_____________ (Category)__________________
3. Freeze the 2004 folder. What predefined freeze names are available? __________
_______________________________________________________________
4. Select the desired freeze and type in a freeze reason.

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Activity C: Freezing an Individual Record
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1. Locate the record titled “Ledger Posting and Clearing.”
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2. Freeze the record.
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3. View the Content Information page. What field indicates the record is frozen?
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4. On the Content Information page, click the Details link next to the Is Frozen field or
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select Freeze Detail from the Actions drop down menu to view freeze details.
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5. What columns are included in the Freeze Detail report?
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____________________________ ____________________________
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7
Customizing Your User Interface
Objectives
• Customize the Search Results page
• Customize the default Check In page
• Customize the Content Information page
• Create custom check in templates
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Customizing Overview
Records Manager gives you options for customizing how pages display. Users can
customize these pages:
• The Search Results page
• The Default Check In page
• The Content Information page
The content check-in page and content information page list all metadata that could
be associated with records. This can be a large amount of information that might or
might not be pertinent to the needs of you or your organization.
With Stellent Records Manager, you can customize which metadata fields are
displayed on the content check-in and content information pages. Hiding fields that
are not used by your organization can help you access the information you want more
easily.
TIP You can also create your own custom check in templates, which
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Lesson 7: Customizing Your User Interface
User Profile
You can use the User Personalization Settings area of the User Profile page to configure
your personal display preferences.
To access your user personalization settings:

1. Click the My Profile link in the top menu.
Customize
what metadata
you want
displayed on
the Content
Info and Check
In page.
Customize how
your search
results appear
on the Search
Result Page in
this section.
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Customizing the Search Results Page

A search results template determines how content displays on the search results page.
You can choose from several templates or create your own. Customize the My
Headline View template and choose to use that template to customize the Search
Results.
• Customizing the search results page can be useful if there is specific information you
frequently review on a content information page, but would like faster access to it, or
if you want to compare certain metadata across several records in a search result.
Template Description
Headline The search results list displays in single lines with no thumbnail images.
Thumbnail A thumbnail image displays.
Classic A thumbnail image and descriptive text displays.
My View Customize your own search results list by selecting what metadata you
want displayed on the page.
The following screen capture shows an example of a customized search results page.
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To customize the search results page:

1. In your user profile, select My View from the Search Template drop down menu.
2. Click the Customize link next to My View.
Adding fields to
the
Description list
creates new
Adding fields to lines of
the Columns information in
list creates new the Description
columns on the column.
search results.
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3. Highlight the desired field in the Available Fields list and click the Move Here
button for either Columns or Description.
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4. Repeat step 3 for each desired field.
5. Click the Move Up and Move Down buttons to order fields.
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6. Click Remove to remove a field from a column.
7. Click OK.
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Customizing the Default Check In Page

You can customize your default check in form. The default Content Check In
Form displays whenever you click the New Check In link in the top menu, or Create
Record from within your Records Manager file plan.
• This customization is particularly useful if you want to hide, reorder, pre-fill, or make
metadata values read only to speed up the check in process.
TIP You can also create your own custom check in templates, which
enables you to choose from multiple predefined check in pages.
These procedures are covered later in the lesson.
The following screen capture is an example of a customized default check in page.

• The Is Record check box has been prefilled as true
• The Originating Organization field has been prefilled and moved to the top of the
page
• The Media Type field has been prefilled as Text and made Read Only
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To customize the default check in page:

1. In your user profile, click the Customize Default Check In link next to Metadata
Display.
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2. To hide a field, click the desired field and click the Hide button.
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3. To reorder fields, click the desired field and click on the Up or Down buttons.
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4. To prefill a field or alter an option list, click the Edit button in the Quick Picks
column next to the field.
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5. Click Select to choose a default or disable the Show check boxes to alter the option y
list.
6. Click OK.
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7. To make a field read only, enable the Info Only check box next to the desired field.
8. Click OK.
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To restore the default check in page to its original values:
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1. In your user profile, click the Customize Default Check In link next to Metadata
Display.
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2. Click the Restore Defaults button.
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Customizing the Content Information Page

You can customize the Content Information page by hiding or reordering fields.
To customize the content information page:

1. In your user profile, click the Customize Content Info link next to Metadata
Display.
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2. To hide fields, click or highlight the desired field and click the Hide button.
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3. To reorder fields, click or highlight the desired field and click the Up and Down
buttons.
Ora 4. Click OK.

5. To restore the page to its original defaults, click the Restore Defaults button.
7-9
Creating Custom Check In Templates

Not only can you customize your default check in page described earlier in this
lesson, but you can create multiple check in templates. These custom templates are
added to the My Stellent tray – My Check In Templates and are only available for
your own use.
• This customization is useful if you check in different records with different sets of
metadata values. You can create multiple check in pages to speed up the check in
process.
• The same concepts and functionality of customizing the default check in page apply
to creating custom check in templates. You can hide, reorder, prefill, and make
metadata values read only.
The following screen capture shows four custom check in pages named Job Postings,
Employee Records, Personnel Applications, and Insurance Claims. These check in
templates helps the user with the check in process of certain types of records.
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Each user must create their own check in pages. However, with content server version
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pages on a global level. Attend Content Server Administration training for more
information.
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To create a custom check in template:

1. Expand the My Stellent tray.
2. Expand the My Check In Templates folder and click the Edit Check In Templates
link.
3. Click the Add New Check In Template button.
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4. Type in a title for the template.
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5. Click OK.
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6. Click the Edit link next to your new template.
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The procedures to hide, reorder, prefill, and make metadata fields read only when
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customizing the default check in page or creating custom templates are identical.
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7. To hide a field, click the desired field and click the Hide button.
8. To reorder fields, click the desired field and click on the Up or Down buttons.
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9. To prefill a field or alter an option list, click the Edit button in the Quick Picks
column next to the field.
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10. Click Select to choose a default or disable the Show check boxes to alter the option
list and click OK.
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11. To make a field read only, enable the Info Only check box next to the desired field.
12. Click OK.
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To use the custom check in template:
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1. Expand the My Stellent tray.
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2. Expand the My Check In Templates folder and click the new template link.
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7-12
Activity A: Customizing the Search Results Page
1. Customize the My View search results template.

2. Title and Description should appear in the Columns list.
3. Add additional fields to the Description list, for example, Is Record, Category ID, Folder
ID, Is Cutoff, Record Cutoff Date, and Vital.
4. Conduct a search and view your new results. If you don’t see changes, make sure you
have selected My View as your default search result template.
Activity B: Customizing the Default Check In Page
1. Customize the default check in page.

2. Set Is Record to true.
3. Hide the Record Activation Date and Delete Approve Date fields.
4. Select Accounting as the Originating Organization field default.
5. Move the Originating Organization field to the top.
6. Set the Type default to Record and make this field read only.
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7. Hide the Content ID and Revision fields.
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8. Click New Check In to view your changes.
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9. What are the procedures to restore the default check in page to its original values?
________________________________________________________________
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Activity C: Create a Custom Check In Page Template
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1. Create a custom check in template named Personnel Applications.
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2. Set Is Record to true.
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3. Select Human Resources as the Originating Organization field default.
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4. Where do you access the new template page to use it for a check in?
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________________________________________________________________
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8
Linking Records
Objectives
• Create links from one record to another
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Linking
Links establish a type of relationship between records. You can access linked records
on the Content Information page of a record in the Links section. A (+) sign next to a
link indicates that there are linked items to the record.
There are two methods of creating links between records:

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• By adding a link from one record to another existing record
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• By adding a link from one record to a new record
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When you add a link between a record in the system to another existing record, you
use the Search page during the process to access the existing record. When you add a
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link between a record in the system to a new record, you use the Check In page
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during the process to create the new record to which you are linking.
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By default, only users with the rmaprivileged and rmaadmin roles can link or
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unlink records. The administrator can assign linking permission to any user.
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Lesson 8: Linking Records
The following built-in link types are available:

• Rendition link, based on the Peer-to-Peer class
• Supersedes link, based on the Chained List class
• Supporting Content link, based on the Parent-Child class
• Cross-Reference link, based on the Cross-Reference class
Link Classes
Each link is based on a class definition of the link relationship. The following are
types of link classes:
• Peer-to-Peer Class
• Chained List Class
• Parent-Child Class
• Cross-Reference Class
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Peer-to-Peer Class and the Rendition Link Type

The system (built-in) rendition link type is based on the peer-to-peer class,
which represents a peer-to-peer relationship between linked records.
• If record A is linked to record B, and record B is linked to record C, then by
virtue of the rendition relationship, record C is linked to record A.
• The rendition link involves a many-to-many (m:n) link relationship between
peer records. Many records (m) can have many links to records (n).
The following diagram shows Record A is linked to Record B, and Record B
is linked to Record C. Since Record B is linked to both Record A and Record
C, then Record C is indirectly linked to Record A.
Chained Link Class and the Supercedes Link Type

The system (built-in) supersedes link type is based on the chained list class.
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•
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The supersedes link is between a record and all of the records that were
superseded by the superior record.
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•
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The link relationship is one-to-many (1:m) between the superseder and the
records.
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superseded. There can be one (1) record that has superseded many (m)
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The diagram below shows Record A was superseded by Record B, which was
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superseded in turn by Record C, which was superseded by Record D. Record
D is the most recent record. The date superseded is set on the previously
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active record, which in this scenario, is record C.
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Parent Child Class and the Supporting Content Link Type

The system (built-in) supporting content link type is based on the parent-child
class. A supporting content link indicates a one-to-many (1:m) parent-child
relationship between one parent record and its supporting child records.
• There can be one parent record to many child supporting content records.
Even though there can only be one parent in this relationship, child records
can belong to multiple parents and reside in other sets of supporting content
links.
• A child record can be the supporting content of many parents, but only one
parent record can by supported by child records.
The figure below shows that Records A and B are the only parent records.
Record A has child Records X, XX, and XY. Record B has child records
Records XX, XY, and Y. Both child records XX and XY have multiple
parents, Records A and B.
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Cross-Reference Class and the Cross-Reference Link
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between a pair of records.
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A cross-reference class and link is always a one-to-one (1:1) relationship
•
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The relationship is a cross-reference that points a record to a similar record.
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The link can be either uni- or bi-directional (reciprocal). The figure below
shows that Record A has a reciprocal link to record B.
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The figure below shows that Record C has a uni-directional, one-way link to
record D.
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Linking to an existing record

1. Navigate to the record in which you want to create a link.
2. Select the desired Add Link option from the Actions drop down menu.
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3. On the record’s Cross References page, select Link Existing Record.
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8-6
5. Enable the check box in the Select column next to the record or records to which to
link.
6. Select Link or Link Reciprocal from the Actions drop down menu.
Linking to a new record:

1. Navigate to the record in which you want to create a link.
2. Select the desired Add Link option from the Actions drop down menu.
3. On the record’s link page, select Link New Record.
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4. Check in a new record.
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Activity A: Linking Records
1. Log in with a username of records_privileged and password of idc.

2. Create a reciprocal cross-reference link between the records titled, “Bill Nelson
Confidentiality Employee Agreement” and “Bill Nelson Application 1/1/04”. Both of
these records exist in Records Manager.
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9
Administrative Responsibilities
Objectives
After completing this lesson, you will understand:

• Records manager administrative responsibilities
• The setting up checklist
• How to log in to Records Manager
• How to help answer your own questions
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• The Records Manager Administration menu
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Administrator Responsibilities
The Records Manager administrator is responsible for accomplishing the following
tasks:
• Install Stellent Content Server.
• Install the Records Manager components.
• Define and set up a records management security model.
• Configure the Records Management system.
• Create a file plan.
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Types of Users
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In this class, we will focus primarily on records manager administration
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responsibilities. Skills required to check in records or search for records are
covered in the “Using Records Management” class.
User Type
n a e Description
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Records Manager
t
Administrator
U s Individuals who configure and manage the entire records
management environment.
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Records Manager Individuals who are given partial access to some records
c l e Privileged Users management administration areas.
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Lesson 9: Administration Responsibilities
Setting Up Checklist
Use the following checklist to assist you with your initial setup of Records Manager.
This checklist spans multiple subjects and multiple lessons of this course workbook.
Refer to the Records Manager Administration Guide for more detailed information.
If you want to record your actions while setting up and configuring Records Manager,
you may want to configure the audit trail first. All user actions are set to be recorded
by default.
Define and setup a Records Manager security model, which includes creating
users, assigning roles, and assigning rights to user roles. Your security model
may include enabling accounts, creating additional security groups and accounts,
and creating additional roles.
Set up your fiscal calendar information.
Define the default recipients for email notifications.
Enable the desired settings on the Configure Records Management page.
Configure file plan components – create custom triggers and custom periods for
your organization.
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These include supplemental markings and custom security fields.
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Configure file plan components – create additional security options if desired.
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Configure file plan components – create record category and record folder custom
metadata fields required for your organization.
Create custom disposition actions
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Create freeze reasons
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Create classification guidesa
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Create custom record link types
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Create the records file plan and hierarchy: Series, Record Categories, and Record
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Folders.
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Define disposition rules for records categories and records folders.
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Export the completed file plan if you want to import the file plan to another
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content server.
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Configure the audit trail and specify default metadata values for checking in the
audit trail log files.
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9-3
To log in to Records Manager:

1. Open your browser.
2. Enter your organization’s URL for Records Manager.
TIP For class purposes, Internet Explorer’s home page has been set to the
Stellent Records Manager URL address.
3. Click the Login button on the Stellent Guest Portal page.
In class, User
Name= sysadmin
and Password=idc.
Username and
password are case
sensitive.
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4. Click OK.
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An Administration link
appears in the Navigation
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Tray. This link only appears
if you have logged in with
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administrative rights.
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Stellent’s Records Manager provides alternate interface navigation and
designs. End users can select a layout and skin based on their preference
c l e in User Profile. This course workbook is based on the default Trays layout
and Stellent skin.
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Getting Help
On-line Help
Help is available directly in Records Manager via a Help link in the Top Menu.
We may direct you to help for more information on topics throughout the course.
To access help:
1. Click the Help link in the Top Menu.
Click the
Contents, Index,
or Search tab to
access help in
different ways.
Product Documentation
Product documentation is available in .pdf format and provides valuable
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information for Users, Administrator, Integrators, and Developers.
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To access product documentation:
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1. Click on ProgramsÆ Stellent Content ServerÆ <server name>Æ UtilitiesÆ
Documentation.
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Support Hotline
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For further assistance in using any Stellent product, contact technical support:
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Phone: 1-888-688-TECH (1-888-688-8324) or (952) 903-2020
•
•
E-mail:
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support@stellent.com
Web:
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http://support.stellent.com
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To access the
n e
support Web site,
U
I
you will be
required to
e
l
register online.
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9-5
Records Manager Administration Menu

The Records Manager component adds a Records Administration menu tree to the
Administration tray in the portal area.
To access the records manager administration menu:

1. Click the Administration tray in the portal navigation bar.
2. Click the (+) plus sign next to Records Administration to expand the navigation
tree.
3. Expand other menu items to view all links.
Main Records Manager

configuration area.
This section enables

you to define security
classification levels
and classification
guides.
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This section enables
you to run reports on
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users, roles, and
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groups within the
Records Manager a
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instance.
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c l Screening enables
advanced search
r a capabilities allowing
you to see what has
happened or what
O ly could happen within

a records base.
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The audit trail
captures and records
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all user activity
based on the
n t e U
configuration.
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import your file plan
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and file plan
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9-6
Administration Page Descriptions
Records Administration Description

Section
Configure File Plan Enables you to define custom triggers and custom periods for
Components Page disposition scheduling and cycling vital records reviews. You can
also define additional security features such as supplemental
markings and custom security fields.
Configure Records Enables you to configure preferences for security, fiscal calendar
Management Page start date, email notifications of pending reviews, and user-
friendly captions for disposition instructions and screening
queries.
Configure Root Nodes Page Enables you to generate a file plan report of the entire file plan and
hide the entire file plan from non-administrators.
Configure Link Types Page Enables you to create custom link names.
Classification Description
Configure Security
Classification
Enables you to define security classification levels and set
up their hierarchy.
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Configure Classification Enables you to set up classification guides and their
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Guide associated topics.
A c
Scheduled Tasks
Scheduled Disposition
Description
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Enables you to view and manage all defined scheduled disposition
Actions actions.
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Scheduled Screening Reports Enables you to view and manage all defined scheduled screening
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reports.
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User and Group Reports
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Description
Section
User Report
t e r U s
Generates a report of all users.
Role Report
I n Generates a report of all users and each of their assigned roles.
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Group Reports
Group-User Report
Generates a report of all groups (aliases) and their descriptions.
Generates a report of all groups and the associated users.
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Administration Page Descriptions
Screening Description
Screen for Categories Screening is an enhanced search capability that enables you to
specify disposition information as your search criteria or isolate
records objects. Enables you to screen by record categories.
Screen for Record Folders Enables you to screen by record folders. See above.
Screen for Records. Enables you to screen by records. See above.
Audit Description
Configure Audit Enables you to select what action on records objects you
want recorded in the audit trail. By default, every action is
selected.
Check-in Audit Entries Enables you to archive and check in the audit trail.
Audit Trail Generates and audit trail report.
Search Audit Trail Enables you to narrow your view of the audit trail according
to the search criteria. Once you conduct a search, a subset
of the current audit report displays.
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File Plan Archive Description
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Export Archive
A
Enables you to export the records file plan and the file plan
e
c
periods.
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component objects such as custom triggers and custom
Import Archive
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Enables you to import an already exported file plan.
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Activity A: Logging In
1. Log in to Records Manager with a username of sysadmin and a password of idc.
Activity B: Checking in New Records
1. Check in the following record. The record is located in the C:\Student Files
RM\Student Files\Personnel folder.
Originating Category Type Title Security File

Organization or Folders Group
Human Personnel – Records Nora Jones RecordsGroup Application_030104.pdf
Resources Applications Employee
Category Application
2. Describe the disposition schedule for this record.

_______________________________________________________________
_______________________________________________________________
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Activity C: Administration
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1. Match the page or link in Column A with its description in Column B. Remember, you
can always refer to on-line help available in Records Manager.
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Answer Column A
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Configure Root Nodes A. Enables you to capture and record all user
activity.
Components O ly
Configure File Plan B. Enables you to view what has happened to
records within a category.
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Screen for Categories C. Enables you to create supplemental markings.
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Audit Trail D. Enables you to define your organization’s fiscal year
start date.
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Management
s
Configure Records E. Enables you to run a file plan report on the entire file
plan.
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10
Implementing a Records
Management Security Model
Objectives
• Understand Stellent Content Server security components and how they are used
in the Records Manager system
• Understand additional security options, which include ACLs, supplemental
markings, and custom security fields
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• Understand records management functions, roles, and rights
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• Implement a records management security model
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• Generate user and group reports
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Security Overview
Stellent Content Server provides an out-of-the-box security system as well as
integration with centralized security models such as LDAP and Active Directory.
Role and account-based security models enable administrators to define which users
may access which content and what permissions users have to the content.
Records Manager security uses the Stellent Content Servers security foundation and
provides additional layers of security. Security options include:
• Records Manager Security Group and Roles
• Records Manager Rights
• Access Control Lists (ACLs)
• Supplemental Markings
• Custom Security Fields
• Records Classification Security
ACLs and supplemental markings are required for compliance by Stellent Records
Manager with the DoD 5015.2 specification. Classification levels are required for
compliance with Chapter 4 of DoD 5015.2.
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You can also choose to use an accounts security model in addition to the options
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provided by Records Manager. For more information on the account security model, e
Server Administration training.
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refer to the Stellent Content Server Administration documentation or attend Content
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TIP
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As with the standard content server security model, the final determination of
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permissions and privileges is determined by the intersection of all security
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mechanisms in place, therefore, the strictest setting prevails.
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Lesson 10: Implementing a Records Management Security Model
Security Components Overview

The following diagram depicts all security components and where they can be
used in the file plan structure.
Stellent standard security is applied at all levels except the series level. Series are
used as containers to help in navigation and build an intuitive file plan structure.
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in a future lesson.
10-3
Records Manager Security Groups and Roles

Stellent Content Server security is comprised of four components:
• Security Groups
• Roles
• Accounts
• Users
These components are defined as how they relate to Stellent Records Manager.
Component Definition
Security Group Group of content.
• Every file checked in to the content server is
assigned one and only one security group.
• Users gain access to security groups via roles.
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The Records Manager component comes with a predefined
security group named “RecordsGroup”.
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The RecordsGroup security group defines security on a group
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of content designated as records.
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Component Definition
Role Defines the permissions (read, write, delete, and admin) users
have to specific security groups.
• Roles provide the user with access to security
groups.
• Each user is assigned one or more roles.
The Records Manager component comes with three predefined

roles named “rma”, “rmaprivileged”, and “rmaadmin”.
• Each of these predefined roles comes with a
default set of permissions and rights, but can be
modified to suit your records management needs.
Role Description
rma Basic records user.
Gives (RW) permission to the
RecordsGroup security group.
rmaprivileged Privileged user given special permissions
to perform functions not allowed of basic
records users; for example, creating
triggers and viewing period, supplemental
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information.
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marking, and custom security field
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Gives (RW) permission to thea
rmaadmin
e A
RecordsGroup security group.
Administrator role responsible for setting
c l up the Records Manager infrastructure.
r a Gives (RWDA) to the RecordsGroup

security group and is automatically
O ly assigned the sysadmin role.

User
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Individual logins defined by a user name and password.
• Users are assigned one or more roles or accounts.
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The records manager administrator must assign record users
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the Records Manager roles.
Account
I n Group of content. Optional feature that increases security
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functionality and provides greater flexibility and granularity
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Records Manager system.
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10-5
Records Manager Rights

Access to Records Manager functions are controlled by rights that are assigned to
roles. Even though the ‘rma’ and ‘rmaprivileged’ roles appear to be identical,
they are not.
Security Group Default Roles and Permissions

RecordsGroup • rma (RW)
• rmaprivileged (RW)
• rmaadmin (RWDA)
The ‘rmaprivileged’ role has sub administrator access to certain administrator

screens.
The three predefined records management roles (‘rma’, ‘rmaprivileged’, and

‘rmaadmin’) have a default set of rights assigned to them.
• Examples of rights include the ability to check in records, create a records series,
expire a records folder, and generate and view an audit trail.
Records Manager enables you to define a very granular security model to suit
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your records management environment. The administrator can choose to:
•
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Modify the predefined roles by either expanding or restricting access to records
management functions.
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Create new roles and assign records management rights to them
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The ability to browse and view the records file plan not only depends
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on assigned rights, but also on any other applied security features,
such as supplemental markings and access control lists (ACLs).
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10-6
To edit existing roles and modify records management rights:

1. Log in with a username of sysadmin and password of idc.
2. Click the Administration tray.
3. Click the Admin Applets link.
4. Click the User Admin icon.
5. Click Security – Permissions by Role… in the file menu.
Notice the three

predefined
Records
Manager roles:
rma,
rmaadmin, and
rmaprivileged.
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6. Select the role you want to edit in the Roles pane. A
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7. Click the Edit RMA Rights button.
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You must be a Stellent administrator to access the User Admin applet
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to define security.
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8. On the default Series tab, enable or disable the desired rights by either checking or
un-checking each check box.
9. Click the Category, Folder, Record, and Admin tabs and enable or disable the
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desired rights.
10. Click OK.
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11. Repeat steps 1-10 for each predefined records management role.
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The administrator can choose to create additional roles if different privilege sets
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are required. Creating new roles and assigning roles to users was covered in
Content Server Administration training. For more help, refer to the Stellent
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Content Server Administration guide. Once a new role is created follow
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procedures 1-10 listed above.
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Series Tab
RMA Rights Description rma rmaprivileged rmaadmin

Series.Read Browse and view X X X
information about a
records series.
Series.Create Create a records series. X
Series.Delete Delete a records series. X
Series.Move Move a records series. X
Series.Edit Edit a records series. X
Series.Hide/Unhide Hide or Unhide a X
records series.
Edit RMA Rights Screen for Series
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Category Tab
RMA Right Description rma rmaprivileged rmaadmin

Category.Read Browse and view X X X
category information
including disposition
instructions.
Category.Create Create a records X
category and disposition
instructions.
Category.Delete Delete a records X
category and disposition
rules.
Category.Move Move a records X
category.
Category.Edit Edit a records category X
and disposition rules.
Category.EditVital Edit the vital review
information for a
records category.
X
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Edit RMA Rights Screen for Categories
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Folder Tab
Folder.Read Browse and view information on X X X
records folders including the life
cycle, history, and metadata
history.
Folder.Create Create a records folder. X X
Folder.Delete Delete a records folder. X
Folder.Open/Close Close or unclose a records folder. X X
Folder.EditVital Edit the vital review information X X
for a records folder.
Folder.Move Move a records folder. X X
Folder.Edit Edit a records folder even if the X X
user is not the author of the folder.
Cancel, expire, rescind, and make
a records folder obsolete.
Set activation, expiration, delete,
and approval dates for a records
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folder.
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Assign supplemental markings.
Folder.UndoCutoff Undo the cutoff of a records
folder.
A c X
folder.
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Folder.Freeze/Unfreeze Freeze or unfreeze a records X
Folder.EditlfAuthor
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Edit a records folder (only if the
user is the author of that folder).
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RMA Edit Rights Screen for Folders
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Record Tab
Record.Read Search and view information about a X X X
record including life cycle, history,
metadata history, and classification
history of a record. Download a
record.
Record.Edit Edit a record. Cancel, expire, X X
rescind, or make a record obsolete.
Move a record. Remove
supplemental markings.
Record.UndoCutoff Undo the cutoff of a record. Edit X
record metadata before a cutoff.
Record.DeleteHistory Delete the metadata history of a X X
record. Only available if Classified
File
Security has been enabled.
Record.UndoRecord Undo the record status of a record. X
Record.Unlink
Record.Create
Unlink records.
Check in records.
X
X
X
X
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Record.Delete Delete records. Must also have delete
permission to the security group.
a de X
Record.Freeze/Unfreeze Freeze or unfreeze a record.

Record.EditVital Edit a vital record.
A c X X
Record.CreateLink
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Create links between records. X X X
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Record.NoPostFilter If you enable this option, users will
see unfiltered search results—that is,
Search
the results will also include records
that users have no access to based on
security classifications, supplemental
markings, custom security fields, and
ACLs. If the user has no access to a
record in the search results, clicking
on it results in an “access denied”
error. Users will be able to view
some metadata (for example, title).
• The main benefit of turning
on this option is that the
search queries are executed
much faster as no complex
post-filtering needs to be
performed, which provides a
search performance boost.
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Edit RMA Rights Screen for Records
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Admin Tab
Admin.RecordsManager Enables access to configure a number X
of settings in the records
management environment and create
supplemental markings, security
classifications, custom security
fields, custom category and folder
metadata fields, and classification
guides.
Admin.Screening Screen for categories, folders, and X
records. Enable advanced screening.
Admin.PerformActions Perform disposition actions X
(processing events). For example,
perform vital reviews.
Admin.Triggers View information on triggers, X X
periods, supplemental markings, and
security classifications.
Create and edit triggers.
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Admin.ConfigureLink
Types
Manage custom record links.
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Admin.NoRmaSecurity If you enable this option, the user

becomes “immune” to security
c a X
classifications, supplemental
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markings, custom security fields, and
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ACLs—in other words; their access
to records is not restricted by these
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security features. In addition, this
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option turns off search post-filtering,
which means the search results will
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include records that the user has not
been explicitly granted access to.
n a e • This right can be used to give
t e r U s sysadmins the privilege to

access every record in the
system.
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c l e be restricted by security groups and

accounts.
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Admin.Security Work with classification guides – X X
view, create, edit, and delete. Users
Classifications
must also be given the
Admin.RecordsManager right.
Admin.Reports Create a user, role, group, and user- X
group reports.
Admin.FilePlanArchive Import and export the file plan and X
file plan components.
Admin.SelectAuthor Enables a user to select a different X
filer.
Admin.Audit Work with audit trails. X
Admin.PerformPending Enables a user to perform pending X
vital reviews.
Reviews
Admin.Custom Define custom disposition actions. X
Disposition Actions
*Additional rights exist when classified security is enabled. Refer to documentation for
descriptions of Admin.PrivilegedEnvironment, Admin.SeletMeta, and
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Admin.ClassificationGuide
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Edit RMA Rights Screen for Admin Functions
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Access Control Lists

Access Control Lists (ACLs) in the Records Manager application adds additional
security to the following file plan components:
• triggers
• record categories
• record folders
You can use ACLs to control user and group access and permissions for triggers,
categories, and record folders.
Searching for records takes more time when using ACLs, since the permissions
are checked on all parent records folders and categories for a record. ACLs do not
affect the search performance when searching for (non-record) documents in
Stellent Content Server.
If your organization is not required to use ACLs, you might want to consider
disabling ACLs for faster search retrieval performance. If your organization is not
required to comply with this specification, the Stellent Content Server security,
custom security fields, and supplemental markings provide exceptional security.
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ACL Scenario
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When you create or edit a category, folder, or trigger, you can choose to add
users or groups (aliases) to an ACL list and specify each users desired
Content Server.
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permissions. A group in Records Manager is equivalent to an alias in Stellent
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In this example, two users are added to the ACL list of the Employee
Records category.
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The user records_admin was given (RWD) permission
•
•
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The user records_privileged was given (RW) permission
By default, the author of the object is added to the ACL with full permissions
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Records category. Even though basic record users given the rma role should
r a have access to browse the entire file plan, the ACL added an additional layer
of security.
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10-18
To add users to an ACL list:

1. Navigate to the file plan component. In this scenario, navigate to the Employee
Records category.
2. Access the Content Information page of the file plan component.
3. Select Edit from the Actions drop down menu.
4. Click the Select button for Group Permissions or User Permissions to add an alias
or individual users.
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6. Navigate to the Personnel series and notice how you are unable to view the
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Supplemental Markings
Supplemental markings can be used as an additional security feature to further
restrict users from accessing record folders and records.
For example, you can add a supplemental marking such as “Classified” to a

record or record folder. Only users assigned the “Classified” marking can access
the record or record folder.
Supplemental markings will be covered in greater detail in the Configuring

Records Manager: Additional Security Options lesson.
Custom Security Fields

Custom security fields can be used as an additional security feature to further
restrict users for accessing records. You can configure any custom field you want
to be matched by a user rather than a designated supplemental marking.
A custom security field pairs a custom document field with a custom user field.
For example, you can create a custom security field such as “Project Name”.
Users must be assigned the appropriate project name or names in order to access
the record assigned with custom security.
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Custom security fields will be covered in greater detail in the Configuring
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Records Manager: Additional Security Options lesson.
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Generating User and Group Reports
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Records Manager enables you to generate PDF reports on users and groups that are
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defined in the system. After you design your security model and add users, you may
want to generate one of the following reports.
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Report
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Description
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User
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Displays all user names, full names, email addresses, date
and time users were created, date and time user information
Role
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was modified, and supplemental markings assigned to users.
Displays a list of all users and their assigned roles.
Group
I n Displays a list of aliases defined in the Aliases tab of the
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Group-User
User Admin applet and a description of the aliases.
Displays a list of aliases defined in the Aliases tab of the
r a User Admin applet and the user names associated with each
alias.
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10-20
To generate a user, role, group, or group-user report:

2. Expand the Records Administration tree.
3. Expand the User and Groups Reports tree.
4. Click one of the desired links; User Report, Role Report, Group Reports, or
Group-User Report.
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5. Click the Save
n a eicon if you want to save the PDF to a storage location.
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TIP User/Group reports can be output in HTML, PDF, MS Excel, or
XML. Generated reports can be saved to a storage location.
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10-21
Activity A: Creating Record Users

2. Create the following local users and assign the appropriate roles.
User Name Full Name Password Roles

asmith Adam Smith idc rma
bnelson Bill Nelson idc rmaprivileged
cjohnson Charles Johnson idc rmaadmin
Activity B: Investigating Record User Permissions
1. Log in as each user and investigate the differences.

2. If you did not create the users above, log in using these user names: records_filer,
records_privileged, or records_admin. Password is idc for each user.
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Activity C: Modify Roles and Records Management Rights
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1. Modify the rma role so users assigned that role can create and edit folders.
2. Modify the rmaprivileged role so users assigned that role can create series and
categories.
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Activity D: Creating a New Role
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1. Create a new role named AllRecords that will give users the right to view all records in
n a e
search results regardless of ACLs, supplemental markings, custom security fields, and
classification security.
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Activity E: Access Control Lists
1. Add an ACL to the Summaries category located underneath the Payroll series. Add
these users:
• records_admin with RWD permission
• records_privileged with RW permission.
2. Log in as the records_filer user with a password of idc.
3. Navigate to the Payroll series.
4. Does the Summaries category exist in the list? _____________________
Activity F: Generating Reports
1. Generate a report that displays all user names, full names, email addresses, date and time
users were created, date and time user information was modified, and supplemental
markings assigned to users.
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11
Implementing a Records File Plan
Objectives
• Understand the file plan components
• Create series
• Create record categories and assign disposition instructions
• Create record folders
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Record File Plan Overview

A records file plan is an organized hierarchy of folders. A records administrator
creates a file plan enabling record users to check in records into the appropriate folder
in the file plan. A file plan hierarchy consists of three objects:
• Series
• Record Folders
File Plan Object Description
Series Series are optional top-level nodes (folders) that can be nested to
help in the organization of your file plan. A series is similar to a
container.
Record Category A record category is a required folder that defines the security
settings and disposition instructions for records and any folders
it contains. Record categories cannot be nested within another
category as disposition instructions would conflict. Categories
are required objects for the file plan.
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Record Folder
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Record folders and subfolders are optional folders that organize
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similar records within a record category. A record folder
inherits its disposition instructions and security instructions from
A
the parent record folder or category, but can have separate
disposition instructions.
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Filing Records O ly
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Records can be filed into either a record category or record folder, not a series.
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The disposition of a record is determined by the category into which it is filed.
The security access and status of the record (such as whether or not the record is
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vital or permanent) is determined by the category or folder into which it is filed.
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11-2
Lesson 11: Implementing a File Plan
File Plan Example

The Records File Plan top node is automatically created upon installation and
cannot be changed.
In the following example, a series named General Accounting and two additional
nested series named Ledgers and Payroll were created to help organize the file
plan only. These series are simply containers and do not hold any records.
Underneath the Ledgers series, two categories named General Ledgers and
Trial Balances were created. General ledger records are retained for 50 years
while trial balances are retained for 2 years. Since these records have different
disposition schedules, two categories were created.
Underneath both categories, two record folders were created named 2003 and
2004. These folders were created to organize similar records by year.
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File Plan Attributes Overview

The following diagram depicts where attributes can be set in the file plan and the
inheritance that is associated with attributes. The diagram shows:
• Vital record status, which includes the vital review period and vital reviewer, can be
set at the record category, record folder, and record levels.
• You can create a non-vital category that contains vital record folders and vital
records; however, the reverse is impossible due to inheritance. Record folders and
records inherit vital setting from their parent if not set separately at their own level.
• The permanent status is set at the category level only, and record folders and records
underneath that category inherit the permanent status.
• Disposition instructions are set at the category level only. Multiple disposition
instructions can be created at the category level enabling you to set different
disposition instructions for record folders. A record folder inherits the disposition
rules from the parent. A record inherits its disposition from the parent folder.
• Record folders and records inherit the frozen status if it is present on an ancestor.
You can freeze at lower levels within the hierarchy.
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File Plan Security Components Overview

The following diagram summarizes the main security characteristics of each file plan
object.
• No security is set at the series level.
• Stellent standard default security and ACLs can be set at the category level.
• Stellent standard default security, ACLs, and supplemental markings can be set at the
record folder level.
• Stellent standard default security and supplemental markings can be set on a record.
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Series
Series are optional top-level nodes (folders) that can be nested to help in the
organization of your file plan. A series is similar to a container.
Define series generically and statically. Series should not reference any specific
project, merger, building, etc. For example, a series should be “Merger and
Acquisitions”, not “Optika Merger”. Therefore, the series hierarchy will remain static
over time. Specific references should be created at the folder level.
To create a series:
1. Open the Browse Content tray.
2. Click the Records File Plan link.
3. Navigate to the location you want to add the series.
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4. Select Create Series from the Actions drop down menu. A
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The Series
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Name
displays in
the file plan
hierarchy.
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5. Enter a unique identifier and name for the series.
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7. Click the Create button.
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11-6
The new
Series displays
in the file plan
hierarchy.
8. Click the Information icon to view information or the Actions icon to

perform an action on a particular series.
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Create your file plan with a navigation structure that will be intuitive
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to your end users, the record filers.
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I n To view series information, generate a file plan report, move, hide, or
delete a series, access the Actions drop down menu on the Exploring
c l e Series “Records File Plan” page.
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can be hidden from end users.
11-7
Record Category
A record category is a required folder of the records file plan hierarchy. A record
category defines:
• If a record is permanent or vital
• The disposition instructions for records
• Security (including ACLs)
Record categories cannot be nested within another category as disposition instructions
would conflict.
Define categories statically. Categories should not reference specific projects,

mergers, buildings, etc. Categories need to live indefinitely as part of the file plan
structure. Specific items are not permanent, but transitory, and will eventually need
to be deleted.
Permanent Record Status Attributes

Permanent record status is determined by NARA (National Archives and Records
Administration) as having sufficient historical value to warrant continued
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preservation beyond the normal time needed for administrative, legal, or fiscal
purposes. Permanent records are typically a small percentage of an organization’s
record base.
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Permanent record status can be set at the category level only.
•
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Record folders and records contained in a permanent category inherit the
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permanent records status.
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Permanent records cannot be destroyed by a disposition instruction.
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11-8
Vital Record Status Attributes

When a file plan object is assigned vital record status, a vital reviewer and vital
review period is set. The vital reviewer receives an email notification when the
vital review period is reached and its time to review the record.
• Vital record status can be set at the record category, record folder, and record
level.
• Record folders and records contained in a vital category inherit the vital status,
but different review periods can be set for each level.
• You cannot create a vital record category that contains non-vital record folders
and records due to inheritance.
• In the case of vital review periods with differing lengths between parent and
child objects, the shortest vital review period takes precedence for a child folder.
TIP 1 If you set the category as vital, all record folders and records inherit
the vital status. It may be better marking the records itself or the
record folder as vital.
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Disposition Instructions
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Disposition instructions are the actions taken on records and will be covered in
e
the next lesson.
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•
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Disposition instructions are defined at the category level only.
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A record folder inherits disposition instructions from the record category.
• A record folder can have different disposition instructions than its parent
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category if multiple disposition schedules are defined in the category and applied
separately to a folder.
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TIP 2
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Disposition instructions are defined at the category level only.
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11-9
To create a category:
3. Navigate to the location you want to create the category.
4. Click Create Records Category from the Actions drop down menu.
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r a 5. Complete the required metadata fields and any desired optional fields.
O 6. Click the Create button.
11-10
Field Description
Security Group / Account Controls access to the category. The default security group is
RecordsGroup. Accounts are optional.
• This field only displays if Default Content Server security is enabled
in the Configure Records Management page.
Filer Displays the name of the person who initially created or filed the record
category.
• This field only displays if Default Content Server security is enabled
in the Configure Records Management page.
Records Category Identifier Enter a unique category identifier. Maximum characters: 100.
Records Category Name Enter a name for the category. Maximum characters: 100.
Records Category Description Enter a description of the category. Maximum characters: 1000.
Disposition Authority Enter the code of the Disposition Authority for the record category.
The disposition authority code represents the legal authority that empowers a
United State Government agency to dispose of temporary records, or to
transfer permanent records to the National Archives (NARA). The
disposition authority must be obtained from NARA. For certain records, the
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authority must be obtained from the GAO (General Accounting Office).
Maximum characters: 100.
•
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Required for the Government sector. Private sector organizations
d
can indicate a person or department responsible for the record or
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enter NONE.
Is non-records check box
A c
Indicates whether the records category contains non-record content items
that have lifecycle schedules assigned to them. If selected, the category is
included the Life Cycle drop down list on the check in page. Non-record
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content is assigned the disposition instructions associated with the records
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category selected in the list.
Permanent check box
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Indicates whether a record category contains permanent records.
Vital check box
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Indicates whether a record category contains vital records. All child record
folders and records inherit the vital status.
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When selected, the Vital Reviewer and Vital Review Period fields
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Vital Reviewer
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Select the user responsible for reviewing vital records from the drop down
menu. The user receives an email notification when the vital review period
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is reached and its time to review the record.
I n • If the vital reviewer is not specified, the Notify recipient reviewer
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Vital Review text box and
receives notifications for review.
Enter an integer for the number of periods to cycle the vital records and
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option list. select a corresponding period in the option list.
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Group (Alias) and User If ACL-based security is enabled, select the Groups and Users who have
Permissions access to this category and assign appropriate permissions if desired.
11-11
Record Folders
Record folders and subfolders are optional folders that organize similar records
within a record category.
• A record folder inherits its disposition instructions and security instructions from the
parent record folder or category, but can have separate disposition instructions.
• A record folder also inherits permanent and vital status if set at the parent category
level. However, the record folder can have a different vital review period as the
parent category.
It was noted to define both series and record categories statically so they can live
indefinitely as part of the file plan structure. At the record folder level, you can
define specific entities, for example, “Optika Merger”, rather than “Merger and
Acquisitions”.
Folders should be specific (not generic) and transitory (not static). The following are
some examples of possible record folders:
•
•
Q1 2004
Q2 2004
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• Litigation Case 825232
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•
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Store in Phoenix
Employee Terminations for 2003
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• Employee Terminations for 2004
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Record folders are considered transitory because the record folder gets processed
along with the records it contains. For example, when the records within Q1 2004 are
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deleted based on the disposition instructions, the record folder is also deleted.
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11-12
To create a record folder:

3. Navigate to the location you want to create the record folder.
4. Select Create Records Folder from the Actions drop down menu.
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11-13
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5. Complete the required metadata fields and applicable optional metadata fields.
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11-14
Field Description
Security Group / Controls access to the record folder. The default security group is
Account RecordsGroup. Accounts are optional.
• This field only displays if Default Content Server security is
enabled in the Configure Records Management page.
Filer Displays the name of the person who initially created, or filed, the record
folder.
enabled in the Configure Records Management page.
Records Folder Enter a unique record folder identifier. Maximum characters: 100.
Identifier
Records Folder Name Enter a name for the record folder. Maximum characters: 100.
Records Folder Enter a description of the record category. Maximum characters: 1000.
Description
Freeze Reason This field is not applicable when creating a new records folder. Available
if freeze reason was entered when the record folder was frozen.
Vital check box Indicates whether a record folder contains vital records. All child record
folders and records inherit the vital status.
•
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a parent folder or category, then clear the check box.
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If you want the folder to inherit the vital review information from
•
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When selected, the Vital Reviewer and Vital Review Period fields
become available.
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Vital Reviewer
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If the Vital check box is enabled, select the user responsible for reviewing
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vital records from the drop down menu if you do not want to accept the
system default reviewer.
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The user receives an email notification when the vital review period is
reached and its time to review the record.
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The vital reviewer must have the rmaadmin or rmaprivileged role.
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Users with the rma role cannot mark a vital record folder as
reviewed.
Vital Review text box
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If the Vital check box is enabled, enter an integer for the number of
and option list.
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periods to cycle the vital records and select a corresponding period in the
option list.
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Subject to Audit check
box
I n Indicates if the record folder is subject to an audit. The Audit Approval
recurring trigger must be set up on the Configure File Plan Components
c l e page. Recurring triggers will be covered in a later lesson.

• If enabled, the Audit Period list becomes available.
Ora Audit Period list If the Subject to Audit check box is enabled, select a period from the drop
down menu. The administrator must configure the audit periods in the
Configuration Manager applet.
11-15
Field Description
External check box Select this check box to indicate the record folder has a physical
counterpart external to the Records Management system.
• If enabled, the External Location and External Container fields
become active.
External Location If external, describes an external location for the record folder external
counterpart. Required. Maximum Characters: 100.
External Container If external, enter a code or description for a physical container.
Optional. Maximum Characters: 100.
Activation Date Enter a date or select it from the calendar component. The activation
date corresponds to a date within a record. For example, if a record
corresponds to a legal contract, the activation date represents the actual
date within the contract that the contract begins.
• This field can be used to trigger a disposition schedule for a
single record or record folder.
Expiration Date Enter a date or select it from the calendar component. The expiration
date is a deactivation date that corresponds to a record. For example, if a
record corresponds to a legal contract, the expiration date represents the
actual date the contract expires.
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•
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This field can be used to trigger a disposition schedule for a
Delete Approval Date

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Enter the date the delete action was approved for the records folder.
After this date, the records folder can be deleted.
•
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This field can be used to trigger a disposition schedule for a
Supplemental
Markings
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Supplemental marking can be used to further secure a record folder.
This field only appears if supplemental markings are enabled on the
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Configure File Plan Components page.
Group (Alias) and
User Permissions
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If ACL-based security is enabled, select the Groups and Users who have
access to this category and assign appropriate permissions.
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TIP
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To view record folder information, generate a file plan report, move,
I
mark reviewed, close, freeze or delete a record folder, access the Actions
c l e drop down menu on the Exploring “Records File Plan” page.
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11-16
To view, edit or perform an action on a record folder:

3. Navigate to the record folder.
4. Click the Information icon for the folder.
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5. In the Actions drop down menu, select the desired action.
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11-17
Activity A: Creating Series
1. Log in with a user name of records_admin and a password of idc.

2. Create a series named Treasury under the top-level Records File Plan node.
Activity B: Creating Record Categories
1. Create a category named Deposit_Receipt underneath the Treasury series.

• This category controls the disposition schedule for all records of deposits,
receipts, and disbursements.
• The regulatory codes are 18CFR124.3 60 (a), NARUC 60 (a).
• These are not vital records and ACL security is not applied.
• Do not define disposition instructions for the category. Disposition instructions
will be covered in the next lesson.
2. Create a category named Trust Funds underneath the Treasury series.

•
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This category controls the disposition schedule for trust fund files, presentations,y
management searches.
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trustee statements, research reports, monitoring files, performance reports, and
• The regulatory codes are 18CFR1255.3 58(f), NARUC 58(f).

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These are vital records. Set the vital reviewer to be the records_privileged user.
The vital review period is 1 calendar quarter.
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•
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Do not define disposition instructions for the category. Disposition instructions
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will be covered in the next lesson.
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Activity C: Creating Record Folders
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1. Create a record folder named 2006 underneath the Deposit_Receipt category.
•
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This is not a vital or external record folder and is not subject to audit.
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Do not apply activation, expiration, or delete approve date.
•
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Do not apply supplemental markings or ACL Security.
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11-18
Optional Activity: Adding an ACL
1. Apply an Access Control List (ACL) to the 2006 folder located underneath the
Deposit_Receipt category.
2. Add the users:
• records_admin with RWD permission
• records_privileged with RW permission
3. Log in as the records_filer user with a password of idc.

4. Navigate to the Deposit_Receipt category.
5. Can the records_filer user view the 2006 folder?
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11-20
12
Creating Disposition Instructions
Objectives
• Understand disposition schedules
• Create dispositions schedules at the category level
• Apply different disposition schedules to record folders
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12-1
Disposition Instructions
Dispositions are the actions taken on records. Disposition actions include activities
such as:
• Transfer records to a storage facility or Federal records center
• Transfer permanent records to the National Archives and Records Administration
(NARA)
• Destroy records when they become obsolete
• Retain records for seven years, then delete
When defining dispositions, a disposition may include a trigger, retention period, and
disposition action depending on the type of disposition.
Disposition Instruction Fields Description

Trigger A trigger starts the processing of a disposition
instruction upon the occurrence of a triggering event.
Triggers are associated with a disposition rule for a
records category. A trigger starts an action.
Retention Period Defines the length of time records are retained.

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Disposition Action
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The action taken on a record such as Approve Deletion,
Activate, Close, Destroy, and Expire.
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The following statement gives an example of how these disposition components fit
together:
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After an event has occurred record become obsolete (Trigger),
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retain for this amount of time 7 calendar years
then destroy the records (Disposition Action).
(Retention Period),
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Disposition Types
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There are three types of dispositions:
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Event
Time
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12-2
Lesson 12: Creating Disposition Instructions
Event Disposition
An event disposition is where records are eligible for disposition when an event
takes place. Upon the occurrence of a specified event, a record is eligible for the
disposition. The event itself acts as a cutoff or closing occurrence.
• For example, “Destroy when obsolete”
The event is when the state of the record becomes “obsolete”; “destroy” is the
disposition action. An event disposition does not have a retention period.
Time Disposition
A time disposition begins with a user-defined file cutoff and has a fixed retention
period. The retention period must transpire before the disposition instructions
takes action on the record.
• For example, “Cutoff at the end of the (fiscal or calendar) year, retain for seven
years, then destroy the records”
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Time-Event Disposition
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A time-event disposition begins with a specified triggering event. After the event
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has transpired, the folder is cutoff and the retention period is applied.
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For example, “Destroy five years after a legal case is closed”
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The cutoff event is when the legal case is closed. The records are retained for five
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years. The disposition action is to destroy.
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12-3
To access the disposition instructions page:

1. If you are in the process of creating a category, this page appears after you click the
Create button.
2. If the category is already created, navigate to the category.
3. Access the Category Information page.

4. Select View disposition from the Actions drop down menu.
5. Select Edit from the Actions drop down menu.
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12-4
To create disposition instructions:

1. Click the Add button on the Disposition Instructions page.
The Apply to
Records Folder
drop down menu
enables you to set
different
disposition
instructions for
each sub record
folder.
2. Select a triggering event from the Triggering Event drop down menu.
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down menu if applicable.
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3. Type in a retention period number in the text box and select a period from the drop
4. Select a disposition action from the Disposition Action drop down menu.
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applicable.
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5. Type in a Destination Location and Destination Container in the text field if
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6. Select an option from the Apply to Records Folder drop down menu.
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7. Click OK.
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8. Repeat steps 1 – 8 if defining multiple dispositions.
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Field
Destination
Description
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Specifies a physical location for an external folder; or location for an accession,
Location
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transfer, move, or archive disposition action. When specified, the information is
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Destination
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added to the applicable records during action processing.
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Describes a physical container for an external folder such as a bar code or some other
Container
Apply to I n
means of identification.
Applies a disposition rule to a specific records folder within a records category.
c l e
Records Folder Existing record folders within the record category display in the list. The default is
All.
Ora Notification
Reviewer
Optional field enables you to specify who will be notified of the event in addition to
the category author. If not specified, the category author will be notified.
12-5
Triggers
A trigger starts the processing of a disposition instruction upon the occurrence of a
triggering event. Triggers are associated with a disposition rule for a records
category. A trigger starts an action.
Triggering events include:

• A retention period cutoff.
• The completed processing of a preceding disposition action.
• A change in record state such as activated, cancelled, delete approved, expired,
obsolete, obsolete and delete approved, rescinded, or superceded.
• Custom triggers defined by the records administrator, both regular and recurring.
Trigger Description and Example

Retention System-derived built-in trigger. This trigger causes a cutoff action to
Period occur at the end of the time unit specified in the retention period. After
Cutoff cutoff, the record is retained for the retention period specified in the
disposition rule.
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•
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For example, a disposition schedule defined with a Retention
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Period Cutoff Triggering Event and a Retention Period of 7
Calendar Years, cuts off the records at the end of the current
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calendar year, retains the records for 7 years after cutoff, then
destroys the records. The system does not destroy the records.
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The action must be performed by a records administrator.
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12-6

Preceding System-derived built-in trigger. When a preceding action in a disposition
(Disposition) instruction sequence completes processing, the next subsequent rule
Action begins.
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For example, a disposition schedule defined to cutoff at the end of
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the calendar year and move records to off-line storage for 1 year,
then transfer to FRC (Federal Records Center), the Preceding
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Action trigger is used.
•
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The system keeps track of when a preceding action completes,
and automatically triggers the next step in a disposition sequence.
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12-7

Various A triggering event can be based on a record state such as activated,
Record cancelled, and deleted.
States
Record States:
Activated – This option is for records that have been activated.
Cancelled – This option is for records that have been cancelled.
Delete Approved – This option is for external physical records that have
been approved for deleting.
Expired – This option is for records that have been expired.
Obsolete – This option is for records that are obsolete.
Obsolete and Delete Approved – This option is for records that are
obsolete and approved for deleting.
Rescinded – This option is for records that have been rescinded.
Rescinded records are those that have been made void as a result of an
enacting authority.
Superceded – This option is for records that have been superceded.
Superceded records are those that have been supplanted, or displaced, by
records that are more recent or improved.
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No Longer Latest Revision – This trigger is activated for monitored
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content when a new revision of this content is checked in. This trigger
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enables you to initiate automatic disposal of old revisions of content. This
is especially useful if you want to keep only the latest revision of content,
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and you want to automate the disposal of old revisions.
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Superseded Twice – This trigger is activated when content is superseded
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by other content, which is subsequently superseded again. If content item
A is superseded by content item B, which is subsequently superseded by
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content item C, then the Superseded Twice trigger is activated on content
item A. This trigger enables you to monitor the process of superseding
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content more flexibly.
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Last New Record Added – This trigger is activated when a new record is
checked into a monitored records folder. This allows you to track the
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activity in a records folder, which can be useful if you want to optimize
the usage of records folders based on their activity level. For example, you
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may decide to delete (or otherwise process) records folders if there have
been no activity for a specified period of time.
I n Declassify on date – This option is for records that are scheduled to be

declassified on a specific date.
c l e Declassify on date – This option is for records that are downgraded in
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their security classification on a specific date.
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12-8
System-derived triggers based in a record state can be affected by an

implicit or explicit change in a record.
Implicit Record State Change
• For example, an implicit change is the case when a record has an

activation date set in the future. The system is aware of the future
activation date, and activates the record at the indicated date. The
change is implicit in that Records Manager automatically changed
the state of the record to active.
Explicit Record State Change
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For example, an explicit change in record state occurs when a
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records administrator manually expires a specific record. The
disposition rule automatically operates on the record.
Custom r a
A records administrator can create custom triggers that:
Triggers
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Activate immediately (Active and Enabled Trigger)
•
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Activate on a certain date and time (Delayed Trigger with a future
•
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activation date)
t e r Delay the activation for an indefinite amount of time until

s
activation is required (Dormant Trigger)
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Recurring I n
Creating custom triggers is covered in the next lesson.
The Audit Approval recurring trigger is a predefined trigger based on an
c l e
Triggers audit that occurs on a yearly basis. The trigger requires the records filer to
select the Subject to Audit check box upon check in.
Ora A records administrator can create custom recurring triggers. Creating

custom recurring triggers is covered in the next lesson.
12-9
Periods
Periods define a length of time and are associated with retention periods for
dispositions.
There are three types of periods:
Type Description
Calendar A period based on a typical segment of the Gregorian calendar year.
• Any calendar period you create is a “custom” calendar period.
Fiscal A period based on the fiscal year as defined by your organization. The start
date of the fiscal year is defined on the Configure Records Manager Page.
• Any fiscal period you create is a “custom” fiscal period.
Custom The records administrator can create custom periods that are based on any
fiscal or calendar year foundation.
• The custom option is useful for creating lengthy periods such as
decades or centuries, or unusual periods such as “school year
session” or “software development cycle”.
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The following periods are (built-in) defined in the system. They cannot be deleted or
edited.
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•
•
Calendar Quarters (Calendar Period)
Calendar Years (Calendar Period)
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• Fiscal Halves (Fiscal Period)
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•
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Fiscal Quarters (Fiscal Period)
•
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Fiscal Years (Fiscal Period)
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12-10
Disposition Actions
The disposition action defined for the rule. Records Manager does not itself perform
the action; but sends an e-mail notification to the person responsible for carrying out
the action.
There following tables describes the actions:
General Actions Disposition Description

Approve Deletion Indicates it is time to take action to approve record folders or records for
deletion.
Archive Indicates it is time to take action to archive record folders or records.
Create Content Indicates it is time to create a content server archive that contains the
Server Archive affected records with their metadata. This archive can be processed further
using the Archiver utility.
Cutoff Indicates is time to cut off record folders or records. Cutoff refers to
changing the status of records to allow further processing.
Delete Old Indicates it is time to delete all revisions prior to the content item revision
Revisions that triggered the disposition action. The revision that activated the trigger
may be the latest revision of a content item, but does not need to be.
• If a content item has 5 revisions and this disposition action is
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4 are marked for deletion.
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activated for revision 5 (the latest revision), then revisions 1 through
•
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If a content item has 5 revisions and this disposition action is
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activated for revision 3, then revisions 1 and 2 are marked for
deletion.
Expire
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Indicates is time to expire record folders or records.
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No Action
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Indicates there is no action to take at this time. This action usually found
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mid-disposition. A No Action acknowledges that a disposition milestone has
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passed, and the next step in the disposition begins processing.
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Notify Authors Indicates it is time to notify the author of the affected category that
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disposition actions are due for the category.
Supersede
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Indicates it is time to supersede a record by another record.
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12-11
Non Records Disposition Description

Actions
Checkin New This disposition action takes the latest revision of the non-record content
Revision item that triggered it, and checks a copy of that revision into the content
server as a new revision. This may be useful if you want to process a content
item revision based on changed historical information, “refresh” an expired
document, or enter a content item into a criteria workflow for disposition
processing.
Delete Previous This disposition action deletes the revision prior to the content item revision
Revision that triggered the disposition action. The revision that activated the trigger
may be the latest revision of a content item, but does not need to be.
activated for revision 5 (the latest revision), then only revision 4 is
marked for deletion.
activated for revision 3, then only revision 2 is marked for deletion.
Delete Revision
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This disposition action deletes the content item revision that triggered the
m
disposition action. This revision may be the latest revision of a content item,
but does not need to be.
•
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activated for revision 5 (the latest revision), then only revision 5 is
marked for deletion.
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Delete All Revisions
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This disposition action deletes the content item revision that triggered the
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disposition action as well as all earlier revisions. The revision that activated
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the trigger may be the latest revision of a content item, but does not need to
be.
•O ly
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5 are marked for deletion (effectively removing the content item
n a e from the content server altogether).
t e r U s• If a content item has 5 revisions and this disposition action is

activated for revision 3, then revisions 1 through 3 are marked for
I n deletion.
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12-12
Record Actions Disposition Description

Accession Indicates it is time to transfer physical and legal custody of records and
document materials to an archival institution such as NARA.
Activate Indicates it is time to activate record folders or records.
Close Indicates it is time to close records folders.
• The Close disposition action is not allowed for non-record
categories. In addition, it only applies to record folders, not records.
Destroy Indicates it is time to destroy record folders or records.
• The Destroy action is not permissible for permanent and non-record
categories.
• The Destroy disposition action removes all revisions of a content
item. Be careful when applying this action to non-record disposition
rule. All revisions of a content item will be destroyed.
Obsolete Indicates it is time to mark records as obsolete.
Move Indicates it is time to moves records and metadata out of the records
management system.
• The Move disposition action is not allowed for non-record
categories.
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Transfer
e
Indicates it is time to transfer records from one location to another, but does
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not transfer the legal and physical custody, such as in accession.
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Classified Record
Actions l
Disposition Description
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Review
Classification r a
Indicates the classification status must be reviewed.
Upgrade O ly
Indicates the security classification should be upgraded to the next higher
Classification
& On
security classification in the hierarchy.
l
Downgrade
Classification
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Indicates the security classification should be downgraded to the next lower
security classification in the hierarchy.
Declassify
t e r s
Indicates the content will be declassified.
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12-13
Notification Reviewer
This Notification Reviewer optional field enables you to specify who will be notified
of the event.
• If you do not specify a user here, the category author will be notified.
• If you do specify an additional reviewer here, both the category author and the
additional reviewer will be notified.
You may also configure your system so that only the reviewer specified in this field is
notified and not the category author (see Tip below).
TIP 1 If you want the specified notification reviewer to be the only user that receives e-mail
notifications for the events triggered by the disposition rule (and not the category author as
well), make sure that the configuration file
<CS_Instance_Dir>/custom/RecordsManagement/records_management_environments.cfg
contains the following line: RmaNotifyDispReviewerAndCatAuthor=false
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12-14
Activity A: Creating Disposition Instructions
1. Create disposition instructions for the Deposit_Receipt category located underneath the
Treasury series. The record folders and records should have the following disposition:
• Cutoff the records at the end of the calendar year and retain for six years. The
records should then be destroyed.
a. What is the triggering event: _______________________
b. Does this disposition schedule have a retention period? _______________
c. If so, how long is the retention period? __________________________
d. What is the type of disposition – Event, Time, or Time-Event?

____________________
2. Create disposition instructions for the Trust Funds category located underneath the
Treasury series. The record folders and records should have the following disposition:
• Cutoff the records at the end of the calendar year and retain for ten years. The
records should then be destroyed.
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Activity B: Evaluating Dispositions
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e A
c l
Complete the following tables based on how you would define the following disposition
schedules in the system. You do not need to create these in the system; however you may
a
want to open the Disposition Rule dialog to view your choices.
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O ly
Here is an example, “Destroy records when they become obsolete”.
Triggering Event
l & On Obsolete
Disposition Action
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t e r U s
1. Destroy when superseded or obsolete.
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c l e Triggering Event
Disposition Action
Ora Triggering Event

Disposition Action
12-15
2. Cutoff at the end of the fiscal year, hold for 3 fiscal years in the current file area, then
destroy.
Triggering Event
Retention Period
Disposition Action
3. Cutoff at the end of the calendar year and hold for 1 year in the current file area, move to
off-line storage for 1 year, transfer to FRC (Federal Records Center) and retain for 10
years, then final accession to NARA (National Archives)
Triggering Event
Retention Period
Disposition Action
Triggering Event
Retention Period
Disposition Action
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Triggering Event
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Retention Period
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Disposition Action
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Optional Activity
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Complete the following table based on how you would define the following disposition
l & On
schedules in the system. This example requires a custom trigger field or the use
Activation Date, Approve Deletion, or Expiration Date fields.
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1. Destroy 5 calendar years after the (legal) case is closed.
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Triggering Event
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Retention Period
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12-16
13
Configuring Records Manager
Objectives
• Configure records management
• Configure file plan components
• Understand built-in triggers and create custom triggers
• Understand built-in retention periods and create custom periods
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• Create record category and record folder custom metadata fields
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13-1
Configure Records Management Page

The Configure Records Management Page enables a record administrator with the
rmaadmin role to configure Records Manager system preferences, such as setting the
fiscal calendar year start date, the default user recipient for record processing email
notifications, and several security settings.
To enable records manager configuration settings:

2. Expand the Records Administration folder.
3. Click the Configure Records Management link.
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4. Type the day and select a month from the drop down menu in the Start of Fiscal
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Calendar fields to configure your fiscal calendar start date.
O r 5. Select a user from the Notify recipient drop down menu.

6. Enable all desired settings and click Submit Update
13-2
Lesson 13: Configuring Records Manager
Field Description
Start of Fiscal Calendar Enter the date by typing the integer and selecting the month from the
list. Required for processing fiscal date periods.
Notify recipient Enter the user names of the persons responsible for reviewing vital
records folders, vital records, and pending disposition events. Email
notifications are sent to the person when it is time to review a vital
record or process a pending event. The person selected for default
notification should be assigned the rmaadmin role. If you want to
specify more than one user, separate them with commas.
Archive Meta Data Specify the file format that the metadata for items in a disposition
Format bundle (for example, a zipped archive of records affected by a transfer,
archive, or accession disposition action created using the Get Records
and Folders command) will be stored in.
There are three options:
• hda (initial default)—This archives the metadata in Stellent’s
proprietary HDA file format, which is specific to Stellent
Content Server.
• xml—This archives the metadata in the eXtensible Markup
Language (XML) format, which can be read and processed
•
further by other applications.
csv—This archives the metadata in the comma separated
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and other applications.
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values (CSV) format, which can be read by Microsoft Excel
Disposition List Result

Count
c a
Specify the maximum number of items that are displayed on the
Disposition Record and Folder List Page. Initial default: 20. If the list
e
move between pages. A
contains more items than displayed, navigation controls are added to
Log Metadata Changes

c l
Select this check box to enable tracking record-level metadata
r a
changes. Any changes to the record metadata are accessible via the
Metadata History command in the Actions dropdown menu on the
O ly
content information page of the record. Initial default: enabled.
Use Advanced Screening
& On
Enable this option to use advanced screening parameters. This setting
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enables additional selection fields such as Disposition Actions and
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Derived Triggering Event to the screening dialogs. Initial default: not
enabled.
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and screening captions
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User-friends disposition
s
Select this check box to enable more user-friendly language for
U
disposition rules and screening criteria. Clear this check box for
I n standard DoD 5015 disposition and screening query language. Initial

default: not enabled.
c l e
ACL-based Security Enables Access Control List (ACL) security. This setting enables you
to create Access Control Lists to assign security permissions on
r a Categories, Folders, and Triggers. Initial default: enabled.
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13-3
Field Description
Default Content Server Enables default Content Server security on record categories, record
security on Categories, folders, and triggers. This setting enables the standard Security Group
Folders, and Triggers and Filer fields on the Create and Edit Records Category, Records
Folder, and Triggers screens, so that you can assign additional security
on those file plan objects and components. Initial default: enabled.
Supplemental Markings Enables supplemental marking security on records, record folders, and
record users. This check box must be selected to enforce user
matching of supplemental markings. Initial default: enabled.
User must match all When enabled, forces a user to match all supplemental markings in
supplemental markings force to access a record. When not selected, a user must match at least
one supplemental marking to access a record within a marked records
folder. Initial default: not enabled.
Custom security fields Select this check box to enable the custom security field feature. When
you enable this field, the Custom Security Field is displayed in the
Configure File Plan Components Page. Initial default: not enabled.
Classified Security Select this check box to enable the classified security feature as
required for agencies conforming to the Chapter 4 Classified Records
section of DoD 5015.2 specification. For more information, refer to
the Records Manager administration guide. Initial default: depends
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on the selection made for Classified Enhancements upon installation.
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Show Export Date
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Select this check box to enable users to export items in the file plan
that have changed since a specific date. The Export Archive page will
then show a date field to select the start date. Initial default: not
enabled.
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Hide Search Conjunction
l
Select this check box to hide the search conjunction options on the
c
search page. By default, Records Manager changes the search page to
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enable users to specify “AND”, “OR”, and “NOT” conjunctions for
searches. This setting allows you to turn off these changes to the
O ly
search page, in order to reduce the complexity of the search page.
Initial default: not enabled.
Only allow scheduled
l & On
Select this check box to allow only scheduled screening reports rather
screening
n a e than users starting them manually. In other words, this option hides the
“Search” button on the screening page, so that all screening requests
t e r U s must be scheduled. This is useful in environments where the total

number of records in the system is so large that it is impractical to
I n
Only allow scheduled
have users wait for screening reports. Initial default: not enabled.
Select this check box to allow only scheduled disposition actions
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disposition actions rather than users starting them manually. In other words, users are only
able to perform their pending records assignments by scheduling them.
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too long to have users waiting for them. Initial default: not enabled.
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13-4
Field Description
Do not notify authors Select this check box if you do not want e-mail notifications to be sent
for pending events, vital reviews, and the Notify Authors disposition
action. Initial default: not enabled.
Use Page Navigation Select this check box to display more elaborate page navigation
controls (including the total number of pages) on the screening results
lists and the disposition record/folder lists. Initial default: enabled.
Show Batch Services Select this check box if you want batch services to be available in the
Records Administration menu. These services enable records
administrators to run scheduled batch services immediately rather than
wait for the standard scheduled time (once a day at midnight, by
default). Initial default: not enabled.
Report Format Specify the file format output for screening results, audit trails, and
user/group reports. There are four options: HTML, Microsoft Excel
(XLS), PDF (initial default), and XML.
Note: Generated PDF files cannot be viewed using Adobe Acrobat 5.x
or earlier. You need at least version 6.0 of the Acrobat software.
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13-5
Configure File Plan Components Page

The Configure File Plan Components Page enables you to configure triggers,
recurring triggers, periods, supplemental markings, custom security, and freeze
reasons for your records file plan.
The file plan components include:

• Defining triggers for triggering dispositions
• Define custom periods for vital record review cycles and retention schedules
• Create supplemental markings and custom security fields for increased security
(covered in the next lesson)
• Create freezes for freezing record folders or records
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13-6
To access the Configure File Plan Components Page:

3. Click the Configure File Plan Components link.
A user with the

rmaadmin and
rmaprivileged roles
can access this
page.
The rmaprivileged
can only access
trigger and period
fields.
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The Supplemental
e
Marking and
Custom Security
a d Field must be
enabled on the
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Configure Records
Management page
e A to appear on this
page.
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13-7
Triggers
A trigger starts the processing of a disposition instruction upon the occurrence of a
triggering event. Triggers are associated with a disposition rule for a records
category. A trigger starts an action.
Triggering events include:

• A retention period cutoff.
• The completed processing of a preceding disposition action.
• A change in record state such as activated, cancelled, delete approved, expired,
obsolete, obsolete and delete approved, rescinded, or superceded.
• Custom triggers defined by the records administrator, both regular and recurring.
A records administrator can create custom triggers that:

• Activate immediately (Active and Enabled Trigger)
• Activate on a certain date and time (Delayed Trigger with a future activation date)
• Delay the activation for an indefinite amount of time until activation is required
(Dormant Trigger)
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13-8
To create a trigger:
4. Click Add in the Trigger Name section.
The
activation
date can be
a future date
or left blank
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5. Select a security group from the Security Group drop down menu.
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6. Select an author from the Filer drop down menu.
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7. Type in a name for the trigger in the Trigger Name field. A
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8. Check the Enabled check box to enable or uncheck the box to disable.
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9. Enter the activation date if applicable in the Activation Date field.
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10. If ACL-based security is enabled, click the Select buttons to select Group and User
Permissions.
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11. Click the Create button.
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13-9
Field Description
Security Group Controls access to the trigger. The Records Group is the default.
enabled on the Configure Records Management Page.
Account Controls access to the trigger.
• This field only displays if Accounts are enabled in Stellent
Content Server.
Filer The author of the trigger.
enabled on the Configure Records Management Page.
Trigger Name The name of the trigger. Required.
Enabled check box Activates or disables the trigger.
• Clear the check box to disable the trigger.
• Leave checked to enable the trigger. When enabled, the
trigger becomes active according to the Activation date.
Activation Date The date the trigger becomes active.
•
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If you do not enter an activation date, an enabled trigger is y
later time.
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delayed indefinitely. You can enter an activation date at a
Group Permissions Displays group permissions assigned to the trigger.

• c a
the Configure Records Management Page.
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This field only displays if ACL-based security is enabled on
User Permissions
l
Displays user granted access to the trigger.
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• This field only displays if ACL-based security is enabled on
the Configure Records Management Page.
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TIP 1
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To edit or delete triggers, select the trigger, click the Info button and select Edit or
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Delete from the Actions drop down menu.
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TIP 2
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Users with the rmaadmin or rmaprivileged roles can create, edit, and view
c l e information about triggers. You must have the rmaadmin role to delete a trigger.
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13-10
Custom Subject Triggers

Custom subject triggers are system-derived triggers based on a record state, and
on record or record folder date fields only. These triggers are not global triggers;
they only affect a record that meets a given state.
Unlike regular or recurring event triggers, you do not set an activation date
explicitly for the custom subject trigger, or enable the custom subject trigger.
• Once created, the custom subject trigger is always active and ready to be used.
• You can create a trigger with a record date field, or a folder date field, or both.
• There is no logical AND between the record and folder date fields.
• There is a logical AND between record fields if more than 1 is specified and
between folder fields if more than 1 is specified.
• The record fields are used to activate the trigger for records, and the folder fields
are used to activate the trigger for folders.
To work with custom subject triggers, you need to have either of the following
rights: Admin.RecordManager or Admin.Triggers.
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13-11
Trainer’s Demo
The trainer will create a custom subject trigger for a custom record metadata field
based on the termination date of an employee. There are three parts to this
scenario:
1. Create a custom record metadata field for the Employee Termination Date using the
Configuration Manager Utility. (These skills were covered in Content Server
Administration training.)
2. Create the custom subject trigger that keys off the record Employee Termination
Date field. Refer to the next page for procedures.
3. Define a disposition instruction that is activated by the custom subject trigger.
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To create custom subject triggers:
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2. Create the custom record metadata field using the Configuration Manager utility
and update the database design.
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13-12

5. Click Add in the Custom Subject Trigger section.
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6. Complete all required and desired optional metadata fields.
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7. Type in a Trigger Name.
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8. Type in a Brief Description.
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9. Select a Record Date Field or Fields for the trigger from the Record Date Fields
list or select a Folder Date Field or Fields for the trigger from the Folder Date
Fields list.
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10. Click the Create button.a
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13-13
Recurring Triggers
A recurring trigger has a recurring life cycle, unlike regular triggers.
• The recurring trigger feature enables you to save time setting up and maintaining
triggers that reoccur on a regular basis.
• The Audit Approval recurring trigger is a predefined trigger based on an audit
that occurs on a yearly basis. The trigger requires the records filer to select the
Subject to Audit check box upon check in.
To set up dates for the audit approval recurring trigger:

1. Open Configuration Manager and populate the option list for the AuditPeriod
field.
5. Select the Audit Approval recurring trigger in the Recurring Trigger section.
6. Click the Info button.
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7. Select Recurring Trigger Date Information from the Actions drop down menu.
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8. Click the Add button.
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13-14
9. Select the period from the Trigger Period drop down menu.
10. Enter an activation date in the Activation Date field.
11. Click Create.
TIP You must populate the Trigger Period list by editing the AuditPeriod field in the
Configuration Manager applet prior to setting up activation dates.
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13-15
Trainer’s Demo
In a previous demonstration, a custom trigger was created for Case Closed 1234.
What if you have multiple cases? You could create multiple triggers for each case
or one recurring trigger with multiple cases contained in the recurring trigger.
There are three parts to this scenario:

1. Create a custom Case Closed record metadata field using the Configuration Manager
utility. The Case Closed field will have an option list of the different cases, for
example, Case 1234, Case 2345, Case 3456, Case 4567, Case 5678, etc.
2. Create a new custom recurring trigger. Refer to procedures on the following page.
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3. Define a disposition instruction using the recurring trigger.
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To create a recurring trigger:
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2. Create the custom record metadata field using the Configuration Manager utility
and update the database design.
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13-16

5. Click Add in the Custom Subject Trigger section.
6. Complete required and desired optional metadata fields.

7. Select a Document Field upon which the recurring trigger is based.
8. Selecta Folder Field upon which the recurring trigger is based.
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9. Click Create.
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10. Select Recurring Trigger Date Information from the Actions drop down menu.
11. Select the Trigger Period from the drop down menu and click Add.
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12. Specify the period and activation date if applicable and click Create.
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13. Repeat steps 11 – 12 for each trigger period.
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Periods
Periods define a length of time and are associated with retention periods for
dispositions, with review periods for cycling vital records.
There are three types of periods:
Type Description
Custom A period based on any fiscal or calendar year foundation.
• The custom option is useful for creating lengthy periods such as
decades or centuries, or unusual periods such as “school year
session” or “software development cycle”.
Calendar A period based on a typical segment of the Gregorian calendar year.
• Any calendar period you create is a “custom” calendar period.
Fiscal A period based on the fiscal year as defined by your organization. The start
date of the fiscal year is defined on the Configure Records Manager Page.
• Any fiscal period you create is a “custom” fiscal period.
The following periods are (built-in) defined in the system. They cannot be deleted or
edited.
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• Calendar Quarters (Calendar Period)
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•
•
Calendar Years (Calendar Period)
Fiscal Halves (Fiscal Period)
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• Fiscal Quarters (Fiscal Period)
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•
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Fiscal Years (Fiscal Period)
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To create a custom period:

4. Click Add in the Period Name section.
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5. Type a name in the Period Name field.
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6. Select a Period Type from the drop down menu.
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7. Enter a Custom Start Time only if you are creating a “custom” custom period type.
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8. Type in an integer value for the length of the period and choose the period from the
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drop down menu.
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9. Type in a display label in the Label for the end of period field.
10. Click Create.
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The Built-in label
t e r U s
indicates whether
or not a period
was predefined,
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out-of-the-box
(Yes) or defined
by you (No).
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Custom Metadata
Records Manager enables you to create additional metadata fields for both record
categories and record folders. Custom metadata fields are used to further organize or
describe categories and folders.
Custom category metadata fields will display on the Create Records Category page
and custom folder metadata will appear on the Create Records Folder page.
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The field
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captioned
Retention
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Classifier is
an example
of a custom
category
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field.
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To create a custom category or folder metadata field:

4. Select Custom Folder Metadata or Custom Category Metadata in the Custom
Metadata drop down menu.
5. Click the Info button.
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6. Click the Add button.
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Only record administrators can create, delete, or edit custom metadata fields.
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13-21
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7. Complete the required metadata fields and applicable optional fields.
8. Click OK.
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Field
Name
Description
A c
Represents the field name in the database. Cannot contain spaces.
Type
c l e
Type option includes Text (30 characters), Long Text (100 characters), Integer (an
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integer without decimal values or commas), Memo (255 characters), and Date
(automatically adds a Calendar component icon next to the date field).
Caption
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Field label that displays on the user interface.
Option List
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Indicates if there is an option list.
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Option List Key If there is an option list, enter a name that represents the option list.
Option List Entries
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Type in text entries for the option list items. The items must be comma-delimited.
s
For example, Regulatory, Operational.
Required
t e U
Specify whether the metadata field is required (Yes) or optional (No).
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Enabled
e I Indicates whether the field appears on the user interface.

Searchable
c l Indicates whether the field is indexed in the database and searchable for end users.
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Default Value Enter a default value for Option Lists, Text, or Long Text fields if desired.
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13-22
Freeze
Freezing a record or records folder inhibits disposition processing for that record or the
records in that folder. This may be necessary in order to comply with legal or audit
requirements (for example, as a result of litigation).
You can predefine freezes that users can select from a dropdown menu when freezing
records or folders. This enables you to better control the freeze/hold process.
Trainer’s Demo
The trainer will create a freeze due to litigation with Company A that is valid for
six months from today’s date. The records should be frozen for 6 months.
To create a freeze:
4. Click Add in the Freeze section.
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The date the
freeze
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should end.
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6. Click Create.
13-23
Configure Root Nodes Page

The Configure Root Node Page enables you to:
• Hide the entire records file plan from users that do not have the rmaadmin role
• Generate a file plan report on the entire records file plan
• View information about the root node series
Hiding the entire file plan or sections of the file plan is useful in work-in-progress
situations.
To generate a file plan report or hide an entire file plan:

3. Click the Configure Root Nodes link.
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4. Select Series Information, File Plan Report, or Hide from the Actions drop down
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13-24
Activity A: Configuring Records Management
1. Navigate to the Configure Records Management page.

2. Set the start date of the fiscal calendar year to May 1st.
3. Set the Notify Recipient to the records_admin user.
4. Enable default content server security on categories, folders, and triggers, supplemental
markings and custom security fields.
Activity B: Creating a Custom Trigger
1. Create a custom trigger named Acquisition 1234. Set the activation date to today’s date.
Activity C: Creating a Custom Period
1. Create a custom period named 2005 School Year. Set the activation date to 9/1/2006.
The period should last 9 calendar months.
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Activity D: Custom Metadata Fields
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should enable a user to type in a description up to 255 characters. A
1. Create a custom category metadata field named Disposition Description. The field
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Activity E: Creating a Freeeze
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1. Create a freeze named litigation 356. Instructions should state records should not be
today’s date.
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unfrozen until the litigation proceedings are complete. Set an end date one year from
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Activity F: Generate a File Plan Report
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1. Generate a file plan report on the entire file plan.
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14
Configuring Records Manager:

Additional Security Options
Objectives
• Review standard default Stellent security and ACLs
•
•
Enable and create supplemental markings
Enable and create custom security fields
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14-1
Additional Security Options

Records Manager security uses the Stellent Content Servers security foundation and
provides additional layers of security. Security options include:
• Records Manager Security Group and Roles
• Records Manager Rights
• Access Control Lists (ACLs)
• Records Classification Security
Records Manager Security Group and Roles, Records Manager Rights, and Access
Control Lists (ACLs) were discussed in great length in the Implementing a Records
Manager Security Model lesson.
This lesson focuses on two additional security options:

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14-2
Lesson 14: Configuring Records Manager: Additional Security Components
Security Components Overview

The following diagram depicts all security components and where they can be used in
the file plan structure.
Supplemental markings can be applied at the record folder and record level while
custom security fields can only be applied to records.
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Supplemental Markings Overview

Supplemental markings can be used as an additional security feature to further restrict
users from accessing record folders and records.
• For example, you can add a supplemental marking such as “Classified” to a record or
record folder. Only users assigned the “Classified” marking can access the record or
record folder.
A record folder or record may or may not have a supplemental marking assigned to it.
If a user has access to a particular record folder or record and that record folder or
record has been given a supplemental marking, the user’s supplemental marking must
match either one or all markings on the record (depending on the configuration).
In circumstances where a folder or record has multiple supplemental markings, you

can require that a user match all assigned supplemental markings to access the folder
or record. Enable this setting on the Configure Records Management page if desired.
To enable this optional feature, the records administrator must:

• Enable the supplemental markings option on the Configure Records Management
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•
page.
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Records Management page if desired.
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Enable the user must match all supplemental markings option on the Configure
•
•
Create supplemental markings
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•
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Assign supplemental markings to users in the User Admin applet.
Assign supplemental markings to the appropriate components in the file plan, either
r a
record folders or records.
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Users with the rmaadmin role can create, edit, or delete supplemental markings.
a e
Users with the rmaadmin or rmaprivileged role can assign supplemental
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markings to a records folder. Any user assigned certain supplemental markings
can assign those markings to a record.
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14-4
Security Scenario
For example, User A is assigned the supplemental marking “CLASSIFIED”. The
Records Folder is marked with “CLASSIFIED”.
• User A can access the folder marked CLASSIFIED.
The records within the folders are assigned the markings “CLASSIFIED” or
“RESTRICTED”
• User A can access Record 2, which is assigned the “CLASSIFIED” mark.
• User A cannot access Record 1 and Record 3, which are assigned the
“RESTRICTED” mark.
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A
User B has not been assigned any supplemental marketings. Therefore, User B
does not have access to any record folders or records that have been assigned a
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supplemental marking.
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14-5
To enable supplemental markings options:

If checked, users will

not be able to
access a records
folder or record if
they do not match all
supplemental
markings assigned
to the folder or
record.
4. Enable the Supplemental Markings check box if it has been disabled.

5. If desired, enable the User must match all Supplemental Markings check box.
To create supplemental markings:

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4. Click Add in the Supplemental Markings section.
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5. Type in a name in the Supplemental Marking field.
6. Type in a Brief Description.
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7. Click Create.
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Assigning Supplemental Markings to Users

If you are using supplemental markings as an additional security feature, an
administrator must assign supplemental markings to users in the User Admin
applet. A user cannot assign a supplemental marking unless they have been
assigned the supplemental marking.
To assign a supplemental marking to a user:

1. Log in to content server with a username of sysadmin and password of idc.
4. Open the User Admin applet.
5. Select or highlight a user and click Edit.
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6. Select the desired Supplemental Markings from the drop down menu.
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7. Click OK.
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14-7
Assigning Supplemental Markings to File Plan Objects

Supplemental markings can be assigned to record folders or record objects. The
following procedures show assigning a supplemental marking to a new record
upon checkin.
To assign a supplemental marking to a record folder or record:

2. Check in a new record.
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3. Select the desired Supplemental Marking from the drop down menu.
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4. Complete all the required and optional metadata fields.
5. Click Check In.
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Now that a supplemental marking has been applied to a record. Users that
do not have supplemental marking will not have access to that record. You
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can log in as the records_filer user and test it if desired.
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14-8
Custom Security Fields

Custom security fields – or custom supplemental markings as they are called in the
DoD 5015 standard – are optional, and add another layer of security.
• Unlike supplemental markings, custom security fields are enforced only at the record
level. Supplemental markings are enforced at both the records folder and the record
level.
Custom security fields are a customized version of supplemental markings. However,

you can configure any custom field (except date fields) to be matched by a user rather
than a designated supplemental marking.
A custom security field pairs a custom document field with a custom user field as
seen below. For example,
• You can create a custom security field such as “Project Name”. Users must be
assigned the appropriate project name or names in order to access the record assigned
with custom security.
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14-9
Creating a Custom Security Field Overview

To enable the custom security field optional feature, the records administrator
must:
• Enable the custom security field option on the Configure Records Management
page.
• Create a custom content metadata field, which has the same name of the custom
security field.
• Create a custom user metadata field, which has the same name of the custom
security field.
• Create a custom security field.
• Assign custom security fields to users in the User Admin applet.
• Assign the custom security field to the applicable records.
To enable custom security fields:

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4. Enable the Custom Security Fields check box.
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To create a custom content metadata field:

4. Open the Configuration Manager applet.
5. Create a custom content metadata field and name it the same as the custom security
field.
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For this particular example, the custom metadata field is long text allowing 80 characters
and an Edit and Multiselect list enabling the selection of more than one project.
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For more information on creating custom content metadata fields, attend Stellent Content
r a Server Administration training or refer to the Content Server Administration Guide.
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14-11
To create a custom user metadata field:

4. Open the User Admin applet.
5. Create a custom user metadata field and name it the same as the custom security
field.
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TIP I n
For more information on creating custom user metadata fields, attend Stellent Content
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Server Administration training or refer to the Content Server Administration Guide.
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14-12
To create a custom security field:

4. Click Add in the Custom Security Field section.
Forces a user to
match all
document field
entries assigned
to a record to
access the record.
5. Type in a name that matches both the custom “document” metadata field and custom
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“user” metadata field name in the Custom Security Field.
6. Select the custom metadata field from the Document Field drop down menu.
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7. Select the custom user metadata field from the User Field drop down menu.
8. Check the Match all check box to enable or uncheck to disable.
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9. Click Create.
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Assigning Custom Security Fields to Users
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If you are using custom security fields as an additional security feature, an
administrator must assign the security fields to users in the User Admin applet.
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The procedures are the same as assigning supplemental marking to users. Refer
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to the procedures listed earlier in this lesson.
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Assigning Custom Security Fields to Records
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Custom security fields can only be applied to records. The custom security field
can be applied upon checkin.
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14-13
Activity A: Supplemental Markings
1. Enable supplemental markings if the option has been disabled.
2. Do not enable the user must match all supplemental markings option.
3. Create a supplemental marking named Restricted.
4. Assign sysadmin and the records_administrator users the Restricted supplemental

marking in the User Admin applet.
5. Add the Restricted supplemental marking to the 2003 and 2004 folder located
underneath the Ledgers series – Trial Balances category.
6. Log in as records_filer and navigate to the Trial Balances category. Can you view the
2003 and 2004 folders? ____________________
7. Navigate to the Record Check In page. Can you assign a record a supplemental marking?
_________________________________
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Activity B: Custom Security Fields
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1. Enable custom security fields.
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2. Create a custom security field named ProjectClearance.
•
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This field will have an option list of:
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WCM
DM
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•
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Remember to create the custom “content” and custom “user” metadata fields
t e r U s
prior to creating the custom security field.
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3. Assign the RM and WCM projects to sysadmin and records_admin.
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4. Navigate to a new record check in page. Can you apply the custom security field to
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records?
r a 5. Can you apply the custom security field to record folders? _____________________
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14-14
15
Exporting and Importing a File Plan
Objectives
• Export a file plan
• Import a file plan
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15-1
File Plan Archive

Records Manager enables you to export and import a file plan and some of its
components. For example, if you have created a records file plan on a development
server, you can easily move the file plan to a production server. You can also use the
export feature to create a backup of your file plan.
The archive feature enables you to export or import:

• Series
• Record categories and their disposition instructions
• Record folders
• Custom triggers, both regular and recurring (optional)
• Custom periods (optional)
• Custom category and folder metadata
For a complete list of components you can archive, refer to Records Manager
Administration documentation.
Exporting and Importing

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The export process creates an .hda file that you can import to another system. The
.hda file is a serialized data file that when imported into another Stellent Records
Manager instance, updates an existing Records Manager file plan and
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components. You can open the .hda file for viewing within a text editor. a
e A
If your organization uses ACL security on your records file plan, the import and
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export only includes record objects to which the administrative user has access.
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For example, if an rmaadmin does not have ACL access to a particular category,
that category is not imported or exported.
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A message is displayed during the import or export process if any objects are not
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processed due to ACL access. Make sure you have ACL access to all items you
want to export and import.
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If a file plan object such as a records category and its disposition information are
changed, the import updates the records category. If new file plan objects are
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added, such as new records folders, the new objects are added by the importation.
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The import does not wipe a Records Manager component installation clean during
an import; it merely does an intelligent update of the file plan metadata and other
r a associated file plan components.
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15-2
Lesson 15: Exporting and Importing a File Plan
To export a file plan:

2. Expand the Records Administration tray.
3. Expand the Archive Administration folder.
4. Click the Export Archive link.
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5. Check the desired check boxes.
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6. Click the Export Archive button.
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7. Save the file plan to a storage location.
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To import a file plan:
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1. Complete steps 1 – 3 listed above and click Import Archive.
2. Check the desired import archive component check boxes.
Ora 3. Click Browse, navigate to, and select the exported file plan (.hda file).
4. Click the Import Archive button.
15-3
Activity A: Exporting a File Plan
1. Export the file plan including all components.

2. Save the .hda file to the desktop.
3. Open the exported .hda file in a text editor and view the file.
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15-4
16
Screening
Objectives
• Screen for record categories
• Screen for record folders
• Screen for records
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16-1
Screening
Screening is an enhanced search capability that enables you to specify disposition
information as your search criteria. Screening also enables you to isolate records and
records objects such as records categories or records folders by their attributes.
Screening enables you to see what has happened or what could happen within a
records base. You can screen at increasingly finer granularity within these file plan
object levels:
• Records Folders
• Records
Within all levels listed above, you can screen by disposition information.
The following are examples of what you could screen for:

• Permanent record categories
•
•
Disposition authority for record categories
Record categories with no disposition
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Record categories with event-time dispositions
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Vital record folders
Record folders due for cut off
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• Closed record folders
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• Frozen record folders
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External record folders
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Records due for destruction
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Screening provides enhanced search capabilities; however, screening requires
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the same search knowledge of how to construct searches and the use of search
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operators. Refer to the Searching lesson in Using Records Manager.
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Lesson 16: Screening
To screen for record categories:

3. Expand the Screening tray.
4. Click the Screen for Categories link.
The Criteria
boxes will
display the
query
comprised of
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SQL, idoc
script, and
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other scripting
languages.
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5. Click the Select buttons to define the Disposition or Records Category parameters for
your screening.
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6. Select the desired sort by criteria in the Sort By drop down menus.
7. Click Search.
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You can enter search criteria in one or more Criteria boxes. You can screen by
t U
as much or as little detail as you desire. Continue clicking the Select buttons
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to append additional criteria.
TIP 2
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You can enable advanced screening for additional search criteria or user
r a friendly screening captions on the Configure Records Management page.
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16-3
To screen for record folders:

4. Click the Screen for Folders link.
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5. Click the Select buttons to define the Disposition, Records Category, and Records
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Folder parameters for your screening.
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7. Click Search.
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Lesson 16: Screening
To screen for records:

4. Click the Screen for Folders link.
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5. Click the Select buttons to define the Disposition, Records Category, and Records
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Folder and Record parameters for your screening.
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c l7. Click Search.
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16-5
Activity A: Screening for Record Categories, Record Folders, and Records
Most of the following screening examples will not show content that matches it criteria
due to the training environment. These exercises are intended to get you familiar with the
screening options.
1. Screen for permanent record categories.
2. Screen for record categories with no disposition.
3. Screen for record categories with event-time dispositions.
4. Screen for vital record folders.
5. Screen for record folders due for cut off.
6. Screen for closed record folders.
7. Screen for frozen record folders.
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8. Screen for external record folders.
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9. Screen for records due for destruction.
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16-6
0.
17
Working With Audit Trails
Objectives
• Configure the audit trail
• Search within the audit trail
•
•
Configure metadata for checking in the audit trail
Check in the audit trail
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The Audit Trail

The audit trail captures and records all user activity you have configured for
recording within the audit trail. An audit trail is critical for tracking user actions
within your records management system.
The audit trail is generated in a convenient and secure PDF (Portable Document
Format) or in an HTML format, depending on a setting in the Report Writer
component. For more information, see Setting the Report Writer Format in Help.
Audit Trail Checkin

At certain points, you can cut off and archive the current audit trail and check it
into Records Manager as a record itself. The audit trail must be cycled for growth
reasons just as all other records.
• Be sure to check in the audit trail log on a regular basis to keep the file size
smaller and the generating report time faster.
• Each current audit trail is generated from the time the component was installed or
•
archived up until the current moment that you request to generate an audit trail.
You may want to create a new category or folder to check in all audit trails.
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Search Audit Trail l & On
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You can search within a current audit trail on the Search Audit Trail page or you
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Entries page. e U s
can search for audit trails archived and already check in on the Check-in Audit
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Lesson 17: Working With Audit Trails
To configure the audit trail:

3. Expand the Audit tree.
4. Click the Configure Audit link.
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5. Uncheck any actions you do not want to audit.
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6. Click the Submit Update button.
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TIP 1
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By default, every action is tracked in the audit trail. It is
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recommended that you leave all settings selected and use the Search
I n Audit Trail Page to narrow down searches of the audit trail.
c l e TIP 2 User Accounts represents record users, not accounts in Stellent
r a Content Server’s security model. The User Group option tracks users
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assigned to an alias group.
17-3
To cut off and check in the audit trail:

4. Click the Check-in Audit Entries link.
To search for
y
audit trails that
are archived
and already
checked in, use
the date fields
e m
d
or full-text
search area.
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5. Click the Default Metadata for Checked-in Audit Entries link to set default
O ly
metadata for the audit trail.
6. Click the Submit Update button.
7. Click OK.
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8. Change the date in the Date field if needed.
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9. Click the Archive button to check in the audit trail as a record.
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17-4
To search within a current audit trail:

4. Click the Search Audit Trail link.
The date or
date range
within the audit
trail.
Any actions
performed by
the user are
retrieved.
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5. Complete the desired metadata fields.
6. Click Search.
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17-5
To generate an audit trail:

4. Click the Audit Trail link.
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5. Click the Save
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icon if you want to save the PDF to a storage location.
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17-6
Activity A: Working With Audit Trails
1. Create a new category named Audit Trails underneath the top-level Records File Plan
node. Do not specify disposition instructions. This category will hold all audit trail
records.
2. View the Configure Audit page, but leave all settings checked.
3. Archive and check in the audit trail into the new Audit Trails category.
4. Browse the file plan and view the new audit trail record located in the Audit Trails
category.
5. Generate an audit trail report and save the PDF to your desktop.
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17-7
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17-8

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Stellent: Using Records Manager

Restricted Rights Notice

U.S. GOVERNMENT RIGHTS

Tasks performed by basic record users include:

Tasks performed by record administrators include:

Objectives Describes what will be accomplished for each lesson.

Discussion Provides key learning points and background information for

Procedures Lists step-by-step instructions for completing each task.

Activities Provides an opportunity for you to practice skills presented

Additional information will be provided to identify special points of interest by including

Records Manager overview .......................................................................................................1-1

Accessing Records Manager .....................................................................................................2-1

Browsing the file plan .................................................................................................................3-1

Checking in records ...................................................................................................................4-1

Records Manager Overview

This lesson helps you understand these concepts:

Records Manager Overview

The Records Manager Solution

 Single source control of  Workflow

Records Manager Features

Easy to use and access

Audit and review

Benefits for the Business User

StarOffice™ and Autodesk AutoCAD® to author content.

Benefits for the Records User

• Able to classify any piece of content as a record.

Classified, Unclassified, Records can also be classified, unclassified, or declassified.

n a e records. Vital records are essential to continued operations for an

Basic Records Manager Concepts

“Records include all books, papers, maps, photographs, machine-readable

other records folders.

r a other records series.

Records File Plan

Stellent Content Server provides a core security feature to assist organizations in

l & On • They can also perform some additional administrator

n a e Supersedes links. See the Records Manager Administration

I n developing the file plan, defining disposition schedules, screening for

Class Security Example

Accessing Records Manager

To access the Records Manager system:

Records Manager Guest Portal Page

Logging in to Records Manager

To log in to Records Manager:

For class purposes, we

Records Manager Standard Home Page

A Customized Records Manager Interface

l & On • Displays My Check In Templates where you

n t e U Expands to provide several options for finding content

e I and includes a tab for viewing search results.

ac New Check In, Checked Out Content, My Checked-out

c l browser and access context-sensitive information on the field label.

To access your user profile:

c l 3. Click the Update button.

O have an additional Alternate Reviewer metadata field available to them.

User Personalization Setting

Activity A: Starting Records Manager

1. Log in with a username of records_filer and password of idc.

Activity B: Navigation and On-Line Help

Access Help in Records Manager.

2. Name two subjects underneath the Customizing Your User Interface.

Ora 9. Does records_admin have more administrative privileges than records_privileged.

Activity D: Viewing Your User Profile

1. Log in as the records_filer user again. User name=records_filer and password=idc.

Single source control of Workflow