1. Managing Oracle WebCenter Content
  2. Managing Records
  3. Managing the Records System

18 Managing the Records System

Managing an Oracle WebCenter Content: Records system includes scheduling tasks for completion at other times, creating reports as needed, creating custom scripts, monitoring system performance, monitoring the audit trail and archiving information. This chapter describes those common tasks.

This chapter discusses the following topics:

18.1 Scheduling Tasks

It is possible to set up a schedule to perform retention-related tasks at times that are more convenient for your environment. This chapter discusses scheduling tasks that can be performed at a later time. It covers the following topics:

Some of the tasks performed may involve large sets of content. Tasks such as processing retention assignments, performing archives, or customizing metadata may interfere with normal daily operations or put a heavy load on the system, which is undesirable during regular business hours.

With the scheduling feature tasks can be set to be performed at a later time, during off-peak times on the system. Freezes can also be scheduled to be performed at specific times.

The following topics are discussed in this section:

18.1.1 Scheduling Screening Reports

To schedule a screening report, first screen for information using the screening function. Select the source then choose the scheduling criteria such as name for the report, start date, indication if it will recur, and the recurrence frequency for the report. You can also subscribe to the report and be notified when the report is generated.

The screening report is then put in the queue of actions to be performed. All scheduled screening reports are generated daily at midnight by default.

18.1.2 Editing Recurring Screening Reports

To edit a recurring scheduled screening report:

  1. Choose Records then Scheduled then Screening Reports.
  2. On the Scheduled Screening Reports page, choose an Edit option in the Actions menu of the screening report to modify:

    • Edit schedule: Change the scheduling criteria for the job. After clicking, the Edit Recurring Report Schedule page opens. Change any schedule details and click Submit Update when done.

    • Edit criteria: Used to change the criteria used for screening. After clicking, the Screen for Topic page opens. Choose the new criteria for screening and click Submit Update.

    • Edit subscription: If the user is subscribed to the report, that subscription can be changed to include other users or a group of users. Choose the new users and click OK when done.

18.1.3 Viewing Recurring Screening Report History

To view the history of recurring scheduled screening reports:

  1. Choose Records then Scheduled then Scheduled Screening Reports.
  2. On the Scheduled Screening Reports page, choose Report History in the Actions menu of the recurring screening report whose history will be viewed.
  3. To view a report, click its link in the Name column.

18.1.4 Scheduling and Unscheduling Freezes

Use this procedure to schedule a recurring freeze of selected items. This optional feature will freeze any new items that match the search criteria specified from the search page.

To unschedule a freeze, select Records then Scheduled then Freezes. Select Unschedule from the Action menu of the scheduled freeze.

  1. Search for the items to include in the scheduled recurring freeze.
  2. On the Search Results page, choose Edit then Freeze All Search Results from the Table menu.
  3. In the open dialog, select the freeze reason from the list.
  4. Enter a freeze reason (optional).
  5. Select Schedule Recurring Freeze Inclusion then click OK.

18.1.5 Viewing Scheduled Job Information

To view a list of all scheduled jobs (reports, freezes, and any other Oracle WebCenter Content scheduled jobs):

  1. Choose Administration then Scheduled Jobs Administration. Choose Active Scheduled Jobs.
  2. The Scheduled Jobs Listing page opens, showing all scheduled jobs.
  3. To view details about a particular job, click the Info icon for that job. To edit details about the scheduled job, select Edit from the Actions menu for a particular item.
  4. The Job Information page/Edit Job Information page opens. This page can be used to edit job details such as priority, the type of job, and so forth.

18.2 Using Performance Monitoring

Performance monitoring can be enabled to check the status of batch processing, service calls, and other system information.

Several default numbers have been set as a starting point for monitoring. Actual performance variations will depend on the hardware used at the site and other variables such as total amount of content and software in use.

The frequency with which you need to update statistics depends on how quickly the data is changing. Typically, statistics should be updated when the number of new items since the last update is greater than ten percent of the number of items when the statistics were last updated.

If a large amount of disposition processing is being done (for example, at the end of the calendar year for organizations that synchronize dispositions on the calendar), you should update statistics at the end of the week rather than wait for a particular percentage of data updates.

Performance monitoring statistics are written to a database table and can be accessed later.

This section discusses the following topics:

18.2.1 Enabling Performance Monitoring

To use performance monitoring:

  1. Choose Records then Audit. Choose Configure then Performance Monitoring.
  2. On the Configure Performance Monitoring page, select the items to monitor and the time intervals for reports and alerts.
  3. Click Submit Update when done.

18.2.2 Checking Performance Results

After enabling performance monitoring, current performance information can be checked using this procedure:

  1. Choose Records then Audit then Performance Monitoring.
  2. On the Performance Processing Results page, choose the type of information to view by clicking the tab at the top of the body section of the page:

    • Performance Processing: This page contains a summary of requests processed, total items processed, total number of queries run, total time to run queries, total time to validate data, total service request parse time and total service request time per each source. Averages for these are also included.

    • Report by Batch: This page contains a summary of batches/items pending, processed, and failed with a total for each source. If an item has failed, a batch file is created that can be re-run. Click on any value in a column to open a page showing details about that item and to access the option to re-run the batch.

    • Report by Item: This page contains the details per batch for a particular source, status or batch type as well as totals. The detail page for the item contains the batch type, start time, completed time, elapsed time, and number of items processed for each batch.

18.2.3 Viewing Performance Alerts and Details

If any performance activities exceed the limits set on the Configure Performance Monitoring page, a message is displayed automatically when you log in to the system.

Click any link on the message to see details about the specific alert. For example, a detail page opens when the first alert message is clicked. Click any link to show details about the specific items that caused the alert.

18.3 Using Custom Scripts

Custom scripts can be created using Idoc Script, a proprietary scripting language. This functionality is enabled by default when the DoD Configuration component is enabled.

Custom scripting can be disabled by deselecting Enable Custom Script in the DoD Config section of the Configure Retention Settings page. To access that page choose Records then Configure then Settings.

When enabled, new content fields are available that allow you to define which scripts will apply to a folder or category.

Note:

You must have a thorough understanding of Idoc Script to use this feature. The software does not validate the script. You are responsible for creating usable scripts. For details about Idoc Script and its use, see Developing with Oracle WebCenter Content.

Two types of scripts can be created using the Custom Script functionality:

  • Security scripts, which allow users with the Records Administrator role to define and manage access control to content.

  • Custom Notification scripts, which notify users of events. One custom script is provided, which notifies a list of reviewers when items are due for destruction after being superseded. Notification is sent in one consolidated email when batches are run. Additional scripts can be created.

Scripts can be applied at a category or folder level but content in the category or folder does not automatically inherit the script. Consider the following scenario:

  • A custom script is created to prevent user A from viewing content.

  • A folder is created and the custom script is applied to it.

  • An item is checked in by user B to the folder.

  • User A browses through the folder and sees the title of the item checked in by user B. However, if user A tries to view the actual item, an error is returned.

To prevent user A from even seeing the title of the item, the security script must be set so items included in the object (category or folder) explicitly inherit the attributes of the script. For example, to set inheritance in a category, the following variable would be set in the config.cfg file: 

RecordsMetaInheritFromCategory=dSecurityScripts:xSecurityScripts

To set inheritance for a folder, use the RecordsMetaInheritFromFolder variable.

Note:

Custom scripts comply with the DoD 5015.2 specification, chapter 4.19 and chapter 4.20.

This section discusses the following topics:

18.3.1 Creating or Editing Scripts

Note:

Any custom Idoc Script that is entered is NOT verified for accuracy. You should have knowledge about Idoc Script and its uses before creating scripts.

To set up a script:

  1. Choose Records then Configure.
  2. Choose Security then Custom Scripts.
  3. On the Configure Custom Script page, select the type of script to use (Notification or Security) by clicking the tab for the script type.

    • To edit an existing script, choose Edit from the script's Actions menu.

    • To add a script, choose Add or Edit on the Custom Script Information page.

  4. On the Create or Edit Custom Script page, add or edit the name for the script.
  5. Add or edit the description for the script (optional).
  6. Add or edit the Idoc code for the script. Note that the code is not verified for accuracy.
  7. When finished adding a new script, click Create.

    When editing a script, click Submit Update.

    To reset the page without saving, click Reset.

18.3.2 Deleting a Custom Script

To delete a script:

  1. Choose Records then Configure.
  2. Choose Security then Custom Scripts.
  3. On the Configure Custom Script page, select the type of script for deletion by clicking the tab for either a Notification or a Security script.
  4. To delete the script, select the box next to the script name and choose Delete or Delete Script from the script's Actions menu. You can also choose Delete on the Custom Script Information page.

18.3.3 Viewing Script Information

To view a script's information:

  1. Choose Records then Configure.
  2. Choose Security then Custom Scripts.
  3. On the Configure Custom Script page, select the type of script for viewing by clicking the tab for either a Notification or a Security script.
  4. To view the script information, click the script name or choose Script Information from the script's Actions menu.

18.4 Using the Audit Trail

The audit trail is generated in the format specified by the Report Format setting on the Configure Report Settings page.

Note:

The Admin.Audit right is required to work with audit trails. This right is assigned by default to the Records Administrator role. Administrative privileges are required to check in the audit trail.

At certain points, the current audit trail can be cut off and archived and checked into the repository. This action can also be scheduled to occur on a regular basis. The audit trail must be cycled for growth reasons the same as other items. Be sure to check in the audit trail log on a regular basis to keep the file size smaller and the report generation time faster. Each current audit trail is generated from the time the system was installed or archived until the request to generate an audit trail.

An audit trail can be generated at any time. The columns within the audit trail correspond directly with the fields you can use to search within the Search Audit Trail page.

If the generated file is in PDF format, Adobe Acrobat version 6.0 or later is required to view it.

Several tasks are involved in managing Audit Trails:

18.4.1 Configuring the Audit Trail

The configuration on the Configure Audit page determines the administrator and user actions recorded for an audit trail.

Note:

The Admin.Audit right is required to perform this action. This right is assigned by default to the Records Administrator role.

To configure an audit trail:

  1. Choose Records then Audit.
  2. Choose Configure then Audit Trail.
  3. On the Configure Audit page, select the boxes for the actions to audit for each entity.
  4. Click Submit Update.

    A message indicates configuring the audit was successful. The next time the audit trail is generated, the trail reflects the chosen selections.

  5. Click OK.

    The Configure Audit page opens again with the updated settings.

    Note:

    If actions are deselected for objects, the actions are not captured by the audit trail. It is recommended you leave all settings selected and use the Search Audit Trail page to narrow down searches of the audit trail. If transactions are heavy and the audit log grows too large too fast, you might want to consider turning off capturing browsing actions to manage the audit trail size.

18.4.1.1 Configure Audit Page

Important:

The Admin.Audit right is required to use this screen. This right is assigned by default to the ‘rmaadmin’ role.

By default, all options are selected when you first access the Configure Audit page. To access this page, select Records > Audit > Configure > Audit Trail.

Note:

The Edit Metadata column is only visible if the Log Metadata Changes option is enabled on the Configure Retention Administration Page.
Audited Objects and Features Actions Recorded

Series

Category

Folder

Period

Trigger

Custom Direct Trigger

Indirect Trigger

Supplemental Marking

Security Classification

Configuration

Record or Content

Freeze

User Groups

User Accounts

Indirect Trigger Date

Custom Security Field

Related Content Type

Disposition Action

Metadata Set
Select the check boxes for the actions you want recorded within the current audit trail:

  • Delete: All action of deleting items are recorded in the current audit trail.

  • Edit: All actions of editing items are recorded in the current audit trail.

  • Create: All actions of creating items are recorded in the current audit trail.

  • Retrieve: All items that are retrieved are recorded in the audit trail. This means the information was viewed within an information page.

  • Browse: All browsing actions within the retention schedule are recorded in the current audit trail.

  • Search: All searching actions for items are recorded in the current audit trail. Screening is also captured by the Search action.

  • Edit Metadata: All metadata changes for items, categories, folders, and series are recorded in the current audit trail. Not only is the changed status recorded, but also what the change entails (old and new field values). This column is only visible if the Log Metadata Changes option is enabled on the Configure Retention Administration Page.

Note:

The User Accounts column represents records users and is not to be confused with the accounts-based security model within Universal Content Management. The Configure Audit User Accounts option tracks users and not document accounts. The User Groups options tracks users assigned to an alias group.

Submit Update button

Submits your updates.

Reset button

Resets the page to the initial settings.

18.4.2 Specifying Metadata Fields to Audit

Use this procedure to specify which metadata fields should be included in the audit trail.

Note:

The Admin.SelectMeta right is required to perform this action. This right is assigned to the Records Administrator role by default.

  1. Choose Records then Audit.
  2. Choose Configure then Audit Fields.
  3. On the Audit Fields page, select the boxes for the metadata field to include in the audit trail.
  4. Click Submit Update when done.

Any changes take effect immediately without restarting the system.

18.4.3 Searching within the Audit Trail

Use this procedure to further refine a search within the current audit trail. For example, you can search for all delete actions, or all delete actions by a particular user, or all actions by a particular user, and so on.

When sorting the audit trail using Oracle DB, the output depends on the type of sort being performed. When sorting with Fulltext Search, sorting is case-sensitive, meaning that upper case items (capitalized items) will appear first in a list. When sorting with Oracle Text Search, a case-insensitive search is performed.

Note:

The Admin.Audit right is required to perform this action. This right is assigned by default to the Records Administrator role.

  1. Choose Records then Audit then Search Audit Trail.
  2. On the Search Audit Trail page, make the selections to narrow the search. As much or as little detail can be included. To adjust the scope (narrow or widen) of the search, use the Boolean operators before each field.
  3. Click Search.

    The search results appear in the format specified by the Report Format setting on the Configure Report Settings page.

18.4.4 Setting Default Metadata for Checking In Audit Trails

Setting the default metadata is useful for setting similar check-in attributes. You must set the default metadata before checking in an audit trail for the first time. This is a required step during the setup of the software.

Note:

The Admin.Audit right is required to perform this action. This right is assigned by default to the Records Administrator role.

To set the default metadata:

  1. Choose Records then Audit then Checked-in Audit Entries.
  2. On the Checked-in Audit Entries page, click the Default Metadata for Checked-In Audit Entries link.
  3. On the Default Metadata for Checked-In Audit Entries page, make selections reflecting the metadata most commonly used when checking in an archived audit trail. When finished, click Submit Update.

    A message appears saying the default metadata has been updated successfully.

  4. Click OK.

18.4.5 Checking In and Archiving the Audit Trail

A user must have performed at least one action while logged into the system to generate an audit trail entry. If an empty audit trail is submitted for check-in, a message is displayed indicating there are no entries in the audit trail. Before checking in an audit trail for the first time, set the default metadata for the checkin.

Note:

The Admin.Audit right is required to perform this action. This right is assigned by default to the Records Administrator role.

  1. Choose Records then Audit then Checked-in Audit Entries.
  2. On the Checked-in Audit Entries page, specify the date and time to cut off the audit trail in the Date box, and click Archive.

    The check-in confirmation page opens. The content ID of the checked-in audit trail is AUDITLOGARCHIVE. Every time it is checked in, a new revision is generated.

  3. Click Content Info to view the information about the archived audit log.

    The Content Information page opens.

  4. To view the audit log just checked in, click the Web Location or the Native File in the Links area of the Content Information page.

18.4.6 Searching an Archived Audit Trail

To search for all checked in and archived audit trails:

Prerequisites

  1. Choose Records then Audit then Checked-in Audit Entries.
  2. On the Checked-in Audit Entries page, click Search Audit Entries.

    The results of the search appear in the search results page.

  3. From the search results page, click options in the Query Actions list to search within the results and save the search.

18.4.7 Viewing an Archived Audit Trail

To view an archived audit log from the search results page, do one of the following:

  • Click the ID (quickest method)

  • Click the Info icon then click the PDF links on the Content Information page.

18.4.8 Creating an Audit Trail Report

An audit trail report is automatically generated in the format specified by the Report Format setting on the Configure Report Settings page. If the generated file is in PDF format, Adobe Acrobat version 6.0 or later is required to view it.

18.5 Using Default Reports

Reports are initially configured through menu options on the Configure Report Settings page. During configuration a profile can be specified to be used when creating or updating a report template, and a profile to be used when creating or updating a report. A report format can also be chosen and if the report or template should be included when performing searches.

Note:

If barcode labels will be printed, specify PDF for the report format. Labels will display in HTML output but they can only be printed correctly using the PDF option.

To configure default options to be used with all reports:

  1. Choose Records then Configure.
  2. Choose Reports then Settings.
  3. On the Configure Report Settings page, choose the report template profile from the option list or use the default profile provided.
  4. Choose the profile to use when creating or updating a report.
  5. Choose the report format to use. Options include HTML, PDF, RTF, or XLS. Note that if barcode labels are to be printed, this must be set to PDF.
  6. Check the box to exclude all report templates during search operations.
  7. Check the box to exclude all checked-in reports during search operations.
  8. When finished, click Submit Update.

18.5.1 User and Group Reports

After creating users and alias groups, and assigning management roles and rights to users, reports can be generated to view at a glance which users and alias groups have access to the system. The following reports are available:

Reports are generated in the format specified by the setting on the user's profile page. To see the user format that is specified, click the user name in the top right corner of the screen and the User Profile page opens. If the system format is used, that usage is specified on the Configure Report Settings page.

If the generated report file is in PDF format, Adobe Acrobat version 6.0 or later is required to view it.

To generate reports, choose Records then Reports then the report type.

Note:

The Admin.Reports right is required to produce any reports. This right is assigned by default to the Records Administrator role. The Admin role is also required.

18.5.1.1 User Report

A list can be generated of all users who have access to the system as well as a barcode list for the users. A report can also be created that can be used to produce barcode labels. The users and the bar codes assigned to them are defined in User Admin utility. This report lists overview information for each user.

Column Description

User Name

The name of the user as entered in the User Admin utility.

Full Name

The full name of the user as entered in the User Admin utility.

E-mail Address

The email address of the user.

Creation Date

The date and time the user was created in the User Admin utility.

Change Date

The date and time the user information was last modified.

Supplemental

Any supplemental markings assigned to a user.

Security Classification

The classification assigned to the user.

Alternate Reviewer

The alternate reviewer for this user.

Barcode

The barcode designation for the user.
18.5.1.2 User Barcode Reports

A report can be generated that lists barcode information and another type that can be used to produce barcode labels. The users are defined in the User Admin utility then assigned rights and roles.

View barcode reports using HTML but print reports using PDF in order to ensure proper formatting.

18.5.1.3 User Roles Report

Use this report to view a list of all users and their assigned roles. The output of the report may not show all data for all roles. The output is dependent on the user who is generating the report and the permissions given to that user.

Column Description

User

The user name of the user as entered in the User Admin utility.

Roles

The roles assigned to the user.
18.5.1.4 Group Report

Use the All Groups report to view a list of all aliases defined for the system.

Column Description

Group Name

Lists all alias groups defined in the User Admin utility.

Description

A short description of each alias group.
18.5.1.5 Group-User Report

Use this report to view a list of all users and groups (aliases) currently defined for access. The users and groups (aliases) are assigned in the User Admin utility.

Column Description

Group

Lists all alias groups defined in the User Admin utility.

User

Lists every user assigned to an alias group.

18.5.2 Content and Physical Item Reports

Several default reports and templates are provided with the product. These reports are available in a variety of locations within the software such as search result page, Content Information pages, and so on. The type of reports depend on the configuration of the system and what components have been enabled.

This section describes how to generate content reports using the default templates provided. For information about creating custom reports, see Developing with Oracle WebCenter Content.

The following types of reports can be produced:

  • Internal Item Detail Report: This report shows details about one item or about a group of items if several items are selected for use for the report. An external detail report is similar to this report, but it includes the bar code for the item as well as other information that pertains only to external items.

  • Search Results Report: This report shows basic information about items such as content ID and author.

  • Records Destruction Certificate Report: This report shows those items that are scheduled for destruction and which should be removed from the warehouse.

The creation of new reports is composed of two steps: finding the information for the report then choosing the appropriate report option.

  1. Use searching or screening to find the information.

  2. Use one of the following methods to create a report for an individual item:

    • Click the Info icon for the item. On the item's Content Information page, choose Create Reports then the type of report.

    • On the Search Results page, select the check box for an item. Choose Create Reports then Selected Items then the type of report.

  3. To create a report for multiple items, select the check boxes of the items then choose Create Reports then Selected Items then the type of report.

  4. To create a report for all items on the page (such as all search results), choose Create Reports then Full Results then the type of report.

18.6 Archiving and Transferring Information

If an environment is set up on one computer (including a retention schedule, security scheme, and so on), you may want to copy this configuration information to another computer, for example, from a development system to a production system or a mirrored site. This can be done using built-in archive import and export features.

You can also import and export records, folders, and metadata in XML format by creating a XML Standard Definition (XSD). XSD is a an XML schema language used to define the structure of an XML document. The XSD file is created to make the file usable in the Records system. This allows the content from the system to be imported into a third-party system using a different archive file format or to export data from another system and import it into the system.

This functionality is compliant with the DoD 5015.2 specification that requires the ability to create different XSD schemas.

Note:

When using the import/export process, make sure the instance to which you are importing has the same metadata fields, security groups, and accounts as the instance where the export is originating from. Errors can result if there are mismatches.

This section discusses the following topics:

18.6.1 The Archive Process

The archive process is used to back up or restore a retention schedule and other configuration settings. It is not used to archive copies of content. For details about archiving content, see Administering Oracle WebCenter Content.

Note that if you import an archive from a 10g version of the software to the 11g version that includes a Related Content table, the import must be done in two steps. First import the content items in an archive. Then import the Related Content table.

The export feature copies a variety of configuration settings to a separate .hda file that can be imported into another instance or stored in a safe location for backup purposes. The .hda file is a plain text, serialized data file that can be opened in any text editor.

Retention Schedule objects should be imported before importing other content. Content Server content should be imported before importing the content-related objects.

Note:

For details, see Archive Import/Export Rights and Permissions.

The archive export and import features enable exporting and importing of the following items:

  • Supplemental markings

  • Security classifications, also known as Classified Markings

  • Custom categories metadata and custom folder metadata

  • Custom security fields, also known as Custom Supplemental Markings

  • Periods

  • Triggers

  • Retention schedules

  • Dispositions history: a log of all actions that have been performed

  • Custom disposition actions

  • Freezes

  • Recurring scheduled tasks

  • Classification guides and classification topics. These are only available if the ClassifiedEnhancements component is enabled.

  • PCM location types

  • PCM storage space definitions

  • Custom PCM metadata

  • Reservations

Note the following considerations when using imports and exports:

  • When using PCM, the export feature copies the space management definitions (the setup and hierarchy of warehouses, rooms, and so on) but none of the metadata of the items stored at those locations is archived.

  • When importing an archive, existing items can be overwritten or can be left unchanged.

  • Set the default archive metadata format by choosing Records then Configure then Settings from the Top menu. The Configure Retention Settings page opens. Expand the General section and select the metadata format from the list.

  • When custom category metadata fields or custom folder metadata fields are imported, the order of the fields is not updated. Restart the Content Server after importing custom fields.

  • The disposition history is not updated. Only new dispositions are imported.

  • The export feature copies the retention schedule definition (that is, the defined hierarchy) and disposition instructions, not the items within the retention schedule.

  • If an additional component is enabled, there may be additional items available for export.

Note:

If your organization uses additional security (ACLs) on your retention schedule, the import and export only includes items that can be accessed by the user performing the import or export. For example, if the person does not have ACL access to a particular category, that category is not imported or exported. A message is displayed during the import or export process if any objects are not processed due to ACL access. Make sure you have ACL access to all items to export and import.

18.6.1.1 Exporting Auxiliary Metadata Sets

Note:

You must have administrative privileges to add tables to the list of schema tables used.

When exporting an auxiliary metadata set, add the AuxiliaryMetadataSets and AuxiliaryMetadataSetDefs table to the list of schema tables used. Follow this procedure to add those tables:

  1. Choose Administration then Desktop Client Apps from the main menu.
  2. Click Configuration Manager.
  3. In the Configuration Manager applet, click the Tables tab.

    A Table List opens.

  4. Click Add Table.
  5. Highlight AuxiliaryMetadataSets and click OK.

    The Table list opens again.

  6. Highlight AuxiliaryMetadataSetDefs and click OK.

    The Table list opens again.

  7. Close the Configuration Manager.

After adding the MetadataSet tables to the list of tables, they become available in the list of tables that can be added from the Archiver.

18.6.1.2 The Export/Import Process

The process of importing and exporting content consists of three distinct parts.

  1. First import or export a retention schedule and any of the objects in that schedule. This corresponds to the Include Retention Schedules Plan portion of the Export and Import pages.

  2. Then import or export the content using the Oracle WebCenter Content Archiver. For details about using the Archiver, see Administering Oracle WebCenter Content.

  3. After content has been imported or exported using the Archiver, import or export the Disposition History of related objects. This corresponds to the Include Dispositions History portion of the Export and Import pages.

18.6.1.3 Archive Import/Export Rights and Permissions

The following export rights are needed for specific objects. These rights are included by default with the Records Administrator role:

  • Admin.RetentionSchedulesArchive right: to export a Retention Schedule.

  • Admin.Triggers right: to export triggers.

  • Admin.PerformActions right: to export Disposition Histories.

  • Admin.RecordManager right: to export objects other than those mentioned previously.

The following import rights are needed for specific objects:

  • Category.Edit, Folder.Edit, and Record.Edit rights: to import a Retention Schedule (because these objects are part of a Retention Schedule).

  • Admin.Triggers right: to import triggers.

  • Admin.PerformActions right: to import Disposition Histories.

  • Admin.CustomDispositionActions right: to import Disposition Actions.

  • Admin.RecordManager right: to import objects other than those mentioned previously.

  • If ACL security is enabled, make sure you have access to all retention schedule components and objects to import.

18.6.2 Managing Imports and Exports

The following tasks are performed when importing or exporting archives:

18.6.2.1 Exporting an Archive

Use this procedure to export an archive that can be imported into another instance (located on the same or a separate system) or for backup purposes. Choose which items should be exported.

Note:

For details, see Archive Import/Export Rights and Permissions.

  1. Choose Records then Import/Export then Archives from the top menu.
  2. On the Import/Export Archive page, select all items to be included in the export.
  3. Click Export.

    A download dialog appears.

  4. To save the archive, click Save. Navigate to the location to save the file, and enter a file name.
  5. Click Save.

    The file is saved to the specified location, and the Import/Export Archive page opens.

18.6.2.2 Importing an Archive

Note:

When using the import/export process, make sure the instance to which you are importing has the same metadata fields, security groups, and accounts as the instance where the export is originating from. Errors can result if there are mismatches.

Use this procedure to import an archive that was exported on another instance (located on the same or a separate system). Choose which items in the archive should be imported. The items to import must have been included in the export of the archive.

Note:

For details, see Archive Import/Export Rights and Permissions.

  1. Choose Records then Import/Export then Archives.
  2. On the Import/Export Archive page, select all items to be included in the import. Click Attempt Update to specify whether to update existing items or leave them untouched. If you do not have update checked and the imported item(s) already exist, an error may occur. Read the error message to determine the best course of action to pursue.
  3. Click Browse next to Archive File to select the archive file (.hda) to import.
  4. After selecting the file, click Import.

    The import adds all new items and updates any existing ones, if applicable. The results of the imported archive are tracked in the audit trail for the enabled actions.

If an error occurs, the error message indicates the number of items that failed, not necessarily the number of individual errors for all retention schedule components. If classified markings are imported, they should be reordered after importation.

18.6.2.3 Importing a Batch-Created Storage Hierarchy

Note:

For details, see Archive Import/Export Rights and Permissions.

Use this procedure to import a storage hierarchy definition file (StorageImport.hda) that was created using the batch storage creation feature.

  1. Choose Records then Import/Export then Archives from the top menu.
  2. On the Import/Export Archive page, make sure the Include Storage check box is selected. You do not have to unselect all the other items. They are ignored if none of them are included in the StorageImport.hda file.
  3. Click Browse next to Archive File to select the StorageImport.hda archive file that was created when you batch-created the storage hierarchy.
  4. After selecting the file, click Import.

    The import adds the storage hierarchy contained in the StorageImport.hda file to the existing storage space at the location specified in the .hda file.

18.6.3 XSD Data Transfer

XSD schemas can be used to manage records, folders, and content to comply with the DoD 5015.2 specification. Exporting and importing data using a format defined as XSD format (XML Schema Definition) conforms with standard transfer schema defaults.

The information must be mapped before proceeding with exporting or importing. After the correct mapping is in place, data can be imported and used. It can then later be transferred as needed to NARA or another system using the XSD schema for that site.

Important considerations should be evaluated before beginning the import and export process:

18.6.3.1 Special Handling of <choice> Elements

The <choice> element type allows only one of the elements contained in the selected group to be present within a containing element. This differs from an option list where one field can have multiple possible values.

A document whose data is being exported can only contain a value in one of the fields contained in the <xs:choice> group. This restriction determines which field to use when the XML file is generated for output. If more than one of the fields in the choice group contain a value, an error occurs and the export cannot finish because of ambiguity as to which field should be used.

The following example shows this type of <choice> list. In this example, an employee can be only one of the three types of employees (full-time, part-time, or contractor). So only one of the three corresponding fields can be contained in the <choice> element. 

<xs:complexType name="employee">
 <xs:choice>
 <xs:element ref="full-time" />
 <xs:element ref="part-time" />
 <xs:element ref="contractor" />
 </xs:choice>
</xs:complexType>
18.6.3.2 Required Fields on Import

If your server has required fields, all of those fields must have a value set in order to perform an import. Mapping the required fields to an XML node provides the value. However, if any of the required fields are not mapped, a profile must be created that sets these values on import. If this is not done, the import fails.

18.6.3.3 Target Namespace and Qualified Locals

Explicitly declare a target namespace in the .xsd file and also specify that locally defined elements and locally defined attributes are qualified. The target namespace is specified by the targetNamespace attribute.

Local elements and attributes can be qualified globally by using the elementFormDefault and attributeFormDefault attributes on the schema element. They can be specified separately for each local declaration using the form attribute. Attribute values can be set to unqualified or qualified, to indicate if locally declared elements and attributes must be unqualified.

18.6.3.4 Configuring XSD for Importing and Exporting

Use this procedure to configure the schema definition for the export.

  1. Choose Records then Import/Export.
  2. Choose Configure then Import/Export Schema.
  3. On the Configure Import/Export Schema page, click Add to create a schema definition to use for the export.
  4. On the Create Import/Export Schema page, enter the necessary information and click Browse to find an archive file for use. When done, click Create.

    The Upload Confirmation page opens.

  5. Choose Configure Top Level Nodes from the page menu.

    The Configure Top Level Schema Nodes page opens. Top level nodes are those that represent an entire object, such as a record or a folder.

  6. Highlight the nodes to include in the list, using the left or right arrows to move or remove the node. Choose mapping options in the mapping section, choosing the appropriate type from the menu lists. Click Save when done.
  7. Choose Map Fields from the page menu to map folder and content fields.

    The Configure Mappings page opens. Use this page to map XSD fields to the Records system metadata fields for both records and folders. These mappings will be used for both exporting and importing. The custom mapping at the bottom of the page is used to resolve ambiguity when two different objects that are defined in the same XSD reference a common sub-object that must be mapped to different fields. To add fields, click Add at the bottom of the page and enter the new custom field. To delete custom fields, click the delete icon (a red X). Click Save when done.

18.6.3.5 Exporting XSD Data

After configuring the data to be exported, you can proceed with the import or export process.

  1. Choose Records then Import/Export.
  2. Choose Export with Schema.
  3. On the Export with Schema page, choose a schema name from the list.
  4. Expand the existing archive batch names and select an archive batch name.
  5. Click Export.
18.6.3.6 Importing XSD Data

Follow a similar procedure to import an archive using XSD mapping by choosing Import with Schema from the menu.

  1. Choose Records then Import/Export.

  2. Choose Import with Schema.

  3. On the Import with Schema page, choose a schema name from the list.

  4. Select an archive file by clicking Browse and navigating to the location where archives are located.

  5. Click Import.