IBM DB2 Records Manager V2.1 Supports DB2 Universal Database and Offers Greater Ease of Use

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1 Software Announcement March 25, 2003 IBM DB2 Records Manager V2.1 Supports DB2 Universal Database and Offers Greater Ease of Use Overview IBM s infrastructure approach to e-records represents a vastly simplified model from traditional electronic records management. There is no complex records management desktop application. Recordkeeping infrastructure and administration are confined to a network server, never seen by end users. IBM Records Manager applies records control to declared records within the applications; it does not attempt to duplicate any application functionality. Declared records are maintained within the application s repository, not removed from it. IBM DB2 Records Manager provides the following capabilities: Declare Business software users can declare a document to be a corporate record, whereupon full formal lifecycle management will be applied to it. Classify Records Manager assigns the appropriate retention and disposition rules to the declared record. Lifecycle Management Records Manager will initiate the destruction or transfer of declared documents within the business application, by applying the formal retention and disposition schedule. Physical Records Management The same underlying recordkeeping infrastructure and processes are applied to manage the business s traditional physical (paper) records. Track folders and boxes, apply bar coding technology, and manage physical storage space. What s new in IBM DB2 Records Manager 2.1: IBM DB2 Universal Database support Improved Records Administrative Client Fly out submenus Fewer keystrokes required to take actions Common function clustering More intuitive menu organization Enhanced physical records management Records Operation Console (Dashboard for Physical Records) Streamlined work processes API improvements Easier integration capabilities for partners IBM DB2 Records Manager V2.1 brings electronic recordkeeping directly to your current business application software. Records Manager provides the underlying recordkeeping infrastructure on a remote dedicated server. The Declare and Classify processes are embedded into the business software s user interface to enable the application without technology overlap with business applications, such as content searching or document viewing. IBM Records Manager acts as a decision engine that lets the business application do its job, without interfering with daily business processes. Key Prerequisites Refer to the Technical Information section for details. Planned Availability Dates March 31, 2003 Electronic Software Delivery (esd) April 15, 2003 Media Pack on CD-ROM At a Glance IBM DB2 Records Manager V2.1 includes several enhancements: Support for DB2 Universal Database Physical records handling: Simplified workflow, more intuitive interface, improvements for reservations and charge-outs, workflow and records center console features Record center console: Centralized interface for physical records management and control Report redesign: WYSIWYG reports, HTML/PDF report output, report templates with personal and public report collections Quick Start option: A working template for your file plan out-of-the-box so you can be productive more quickly Context-sensitive Web help API improvements for enhanced partner development meeting new DoD STD June 2002 Improved user interface: Easier to use, simplified workflow, less technical nomenclature, enhanced layout, full XML import/export utility For ordering, contact: Your IBM representative, an IBM Business Partner, or the Americas Call Centers at 800-IBM-CALL Reference: SE001 This announcement is provided for your information only. For additional information, contact your IBM representative, call 800-IBM-4YOU, or visit the IBM home page at: IBM United States IBM is a registered trademark of International Business Machines Corporation

2 Description IBM DB2 Records Manager V2.1, through the use of electronic recordkeeping (e-records), provides the tools a business can use to help demonstrate the accountability they need to show shareholders, customers, and regulators. With e-records, you bring formal, structured recordkeeping practices to bear on the electronic information in business software. Business software with e-records capability applies formal recordkeeping practices and methods to the electronic documents, which helps to prove compliance with regulations, preserves critical documents, and deletes information at only the appropriate time, in accordance with applicable laws and policies. With e-records, you now have the means to preserve the business records you must be keeping, while safely and confidently destroying those permitted by law, policy, or regulations. State-of-the-Art E-records Technology Records Manager is a Web-based e-records software solution. With IBM Records Manager, you can record the rules about which information to keep and for how long (retention), and which information to destroy or archive and when (disposition), based on the laws, regulations, and policies that affect your business. These disposition rules are then applied to the electronic information stored in your electronic repositories. IBM Records Manager is a powerful and effective tool for applying formal records management policies and practices to electronic and non-electronic documents. When used within a context of clear and consistent corporate policy, it can offer a number of benefits: 1. Reduced litigation risk via structured document destruction. IBM Records Manager provides a highly structured approach to record retention and destruction. When Records Manager is properly employed within a context of clear and consistent corporate policies, your document destruction will be better understood, and you have a means of consistently applying applicable laws, regulations, and policies to your destruction decisions. 2. Reduced discovery costs during litigation via improved evidence discovery. With a well-defined process for record retention and destruction, backed by supporting audit trails, you may be able to reduce the total time of electronic evidence discovery (e-discovery) during litigation. Good electronic recordkeeping means you can keep the documents you need, and destroy those you don t. 3. Demonstrated compliance with regulations. Good recordkeeping means that you can more easily demonstrate your compliance with regulations that affect your business, by preserving the documents produced by compliance procedures. 4. Improved decision-making. Good recordkeeping ensures you are making important business decisions based on timely, relevant information, due to the structured destruction of dated or irrelevant information. 5. Reduced operational costs. Reduce physical storage costs, mandated e-discovery costs, and the costs associated with finding, identifying, and retrieving mission-critical business records. Records Manager consists of five major components: Engine Records Manager is a true Web server process that runs on a network server attached to your corporate intranet or the Internet. It implements and manages the official corporate file plan, retention and disposition rules, and related recordkeeping processes. It uses a database to store metadata on declared records from the various business applications, and the supporting records infrastructure data. API The application programming interface lets you embed the e-records process into the business software, and add the Declare, Classify, and lifecycle management functions. The API is SOAP/COM+ compliant. All engine functions are accessible via the API. Records Administration Client (RAC) This is the Web-based application your corporate records manager uses to conduct daily records operations. Enter the retention and disposition rules, apply security, define audit trails, and perform destruction and transfer operations. It operates over the intranet or Internet. It is fully customizable and extensible. Connector This is a packaged integration between IBM Records Manager and popular clients. Report Designer IBM Records Manager contains a full-function, WYSIWYG Report Designer. The Report Designer allows Records Manager to use drag and drop techniques to design sophisticated, fully formatted reports. Once designed, the report templates are saved for later re-use within the IBM Records Manager Records Administration Client. With IBM Records Manager, documents are maintained undisturbed within the business software. Business processes thus remain intact, and vital security is preserved. IBM Records Manager is 100% Web-based, meaning there is no desktop client software to install. Bring Records Management to Your Business Quickly and Easily With IBM Records Manager, you can records-enable virtually any business software. All the underlying recordkeeping infrastructure and processes are supplied by IBM Records Manager. Using IBM Records Manager s sophisticated API, the Declare, Classify, and lifecycle capabilities can be incorporated directly within the host business application. The business s professional

3 Records Management personnel operate and administer the records via IBM Records Manager s Records Administration Client. IBM Records Manager resides on a network Web server. You can implement electronic recordkeeping for any number of host business applications. And when your business is ready for Enterprise Content Management, IBM DB2 Content Manager is already fully records-enabled with IBM Records Manager. Advantages of IBM Records Manager IBM offers numerous advantages over traditional records management applications (RMAs). Engine Architecture Model Records Manager means no software to install on user workstations, no technology that is redundant with the business application, no competing repository, and true Web-based server technology. It supports Web or client/server applications. Scalability Records Manager is designed to scale up for large numbers of users. Security Maintaining the declared records in the business application repository means the security environment of the application is fully preserved. Flexibility IBM s Recordkeeping Methods Modeling (RMM) ensures that any unique recordkeeping practices or conventions can be applied to your physical and electronic records. IBM Records Manager V2.1 includes support for DB2 Universal Database, running on Windows -supported platforms. Product Positioning Information is an essential element of an on demand e-business and IBM is the industry leader in delivering robust information management solutions that manage, integrate, and deliver information from multiple formats and sources and across many platforms. Enterprise content management is a core component of the IBM DB2 information on demand strategy and IBM will now deliver its industry-leading Content Management family of products under the new DB2 brand, as part of the DB2 Information Management Software portfolio. Over time product names will evolve to reflect this change. Trademarks DB2 and DB2 Universal Database are registered trademarks of International Business Machines Corporation in the United States or other countries or both. Windows is a registered trademark of Microsoft Corporation. Other company, product, and service names may be trademarks or service marks of others

4 IBM US Announcement Supplemental Information March 25, 2003 Offering Information Product information is available through the Offering Information tool at: and through the Passport Advantage Web site at: Publications Publications are shipped in softcopy form on the Media Pack. Technical Information Specified Operating Environment Hardware Requirements: The exact configuration you need to support your environment with satisfactory response time will vary depending on the size of the objects you are working with and other factors. Individual display response times vary depending on workstation speed, memory, size of objects, and network and server workload. Minimum recommended configurations listed below need to be evaluated and adjusted according to your unique requirements. Disk space recommendations below are for the product installation and working space only. The actual hard disk required varies, depending on your installation. Windows Platforms Records Management Server PC that supports Windows Minimum processor speed of 133 MHz 24.1 MB of disk space Minimum 64 MB of RAM (128 MB recommended) Client for Windows A PC that supports Windows Software Requirements DB2 Records Manager Web Administrator Client Microsoft Windows 2000, Windows 98, or Windows XP operating system Internet Explorer (5.01 and up) or Netscape Navigator (6.01 and up) Web browser (Internet Explorer 5.x recommended) DB2 Records Manager Server Microsoft Windows 2000 Server with SP2 or greater, or Microsoft Windows Advanced Server with SP2 or greater. Microsoft Data Access Components v2.61 and Microsoft XML Parser v3.0. Note: If you do not already have these available on your computer, you can find separate installation programs for each on the Records Manager CD in the directory named \Redistributable. The files are: MDAC_TYP_26.EXE, MDAC_TYP_26SP1_EXE (Microsoft Data Access Components) MSXML3.EXE (Microsoft XML Parser v3.0) scripten.exe (Windows Script Host 5.6) DB2 Records Manager Web Server Microsoft Windows 2000 Server with SP2 or greater or Microsoft Windows 2000 Advanced Server with SP2 or greater IIS 5.0 Supported DBMS Servers Microsoft SQL Server 2000 SP1 or greater Oracle 8i (81730) Oracle 9i DB2 Universal Database Version 8.1 Planning Information Direct Customer Support: Direct customer support is provided by IBM Operational Support Services Support Line. This fee service enhances customers productivity by providing voice and electronic access into the IBM support organization. IBM Operational Support Services Support Line will help answer questions pertaining to usage, and suspected software defects for eligible products. Installation and technical support is provided by Global Services. For more information call 800-IBM-4YOU ( ). Packaging: following: IBM Records Manager V2.1 contains the Records Manager V2.1 Media Pack Media pack contents consist of 1 CD. This program, when downloaded from a Web site, contains the applicable IBM license agreement, and License Information (LI), if appropriate, which will be presented for acceptance at the time of installation of the program. The license and LI will be stored in a directory such as LICENSE.TXT for future reference. This announcement is provided for your information only. For additional information, contact your IBM representative, call 800-IBM-4YOU, or visit the IBM home page at: IBM United States IBM is a registered trademark of International Business Machines Corporation

5 Ordering Information This product is available only via Passport Advantage. It is not available as shrinkwrap. Product Group: IBM Content Management Product Identifier Description: IBM Records Manager V2.1 (5724E10) Product Category: IBM Records Manager IBM DB2 Records Manager V2 is a client server product which has two charge units: Server install and Concurrent User. IBM DB2 Records Manager User Licensing has changed with this announcement. Records Manager, previously sold per Server and Named User, will now be sold based on per Server and Concurrent User. As a result, the price for Records Manager Users has been changed accordingly. Records Manager Server pricing remains unchanged with this announcement. All orders for this product are placed through Passport Advantage. You should order the appropriate number of License and Maintenance (1 Year or 2 Year) authorizations that meet your requirements. Media packs must be ordered separately from program licensing to receive shipment of the appropriate program media. If you are currently licensed for IBM Records Manager, your active Maintenance entitles you to the new Records Manager V2.1. If you do not receive an automatic shipment of RM V2.1, you may call the Passport Advantage Maintenance center and request shipment of the Records Manager V2.1 media pack. If you are currently licensed but are not on active Software Maintenance, you may purchase Maintenance After License to become eligible or entitled to request the new Records Manager V2.1 media pack. If you are currently licensed for Records Manager and on active Software Maintenance, you should order Maintenance Renewal to remain on active Maintenance. Explanation of Terms: Records Manager Server Your license to the program server entitles you to install the program on one physical server or node. If you wish to install the program on additional physical servers or nodes, you must acquire additional Proofs of Entitlement (PoEs). Records Manager Concurrent User You must acquire an authorization for each concurrent user. The number of concurrent users is defined as the maximum or peak number of users, either within or outside your enterprise, connected to the program server at one time. Each Records Manager concurrent user license authorizes one concurrent user to connect to the Records Manager program server, enabled to support one or multiple host applications. Each user connection is considered to be active, and therefore concurrent, for 30 minutes after logon or any transaction against the server. If the user invokes any transaction activity within a 30-minute interval, they will continue to be considered an active concurrent user. If the connected user remains inactive for a period of greater than 30 minutes, they will no longer be considered an active concurrent user, until they re-establish an active connection by invoking a transaction against the server. These connections may be either direct or through a surrogate or application server (using common techniques such as end user mapping or connection pooling). Employees, clients, partners, and Internet users who make a connection via either an application or client are all counted as concurrent users. The total number of program servers and concurrent users may not exceed the number authorized by the applicable PoEs or authorized by each product authorization acquired under Passport Advantage. If the total number exceeds the quantity in your PoEs, or exceeds your product authorizations acquired under Passport Advantage, you must notify IBM or its reseller as stated in the IPLA. Passport Advantage Records Manager V2.1 Program Name/Description IBM RECORDS MANAGER V2.1 MEDIA PACK LIC/SW MAINT 1 ANNIV LIC/SW MAINT 2 ANNIV SW MAINT RNWL 1 ANNIV SW MAINT AFT LIC 1 ANNIV LIC/SW MAINT 1 ANNIV LIC/SW MAINT 2 ANNIV SW MAINT RNWL 1 ANNIV SW MAINT AFT LIC 1 ANNIV Part Number BF010NA D5213LL D5214LL E00MALL D5215LL D5210LL D5211LL E00M9LL D5212LL IBM DB2 Records Manager is available through the IBM Passport Advantage Program electronic Software Delivery (esd) tool. Terms and Conditions This product is available only via Passport Advantage. is not available as shrinkwrap. Licensing: IBM International Program License Agreement. Proofs of Entitlement (PoE) are required for all authorized use. Part number products only, offered outside of Passport Advantage, where applicable, are license only and do not include Software Maintenance. Limited Warranty Applies: Yes Program Services: Available until May 31, 2005 Money-Back Guarantee: If for any reason you are dissatisfied with the program, return it within 30 days from the invoice date to the party (either IBM or its reseller) from whom you acquired it for a refund. This applies only to your first acquisition of the program. It

6 Copy and Use on Home/Portable Computer: No Volume Orders (IVO): No Passport Advantage Applies: Passport Advantage Web site at: Yes and through the Usage Restriction: Yes Limited Use DB2 Universal Database (UDB) Components: The program includes portions of DB2. You are authorized to install and use one copy of these components only in association with your licensed use of the program for the storage and management of data used or generated by the program, and not for other data management purposes. For example, this license does not include inbound connections to the database from other applications for queries or report generation. You are authorized to install and use these components only with and on the same machine as the program. Your use of the DB2 components is subject to the terms and conditions of the license agreement which accompany the components except as limited in this license. The DB2 components may not be used for any other purpose. Contact your DB2 reseller if your needs exceed this license agreement, to obtain a full DB2 UDB program. Software Maintenance Applies: Yes Software Maintenance, previously referred to as Subscription and Technical Support, is now included in the Passport Advantage Agreement. Installation and technical support for the product is provided by the Software Maintenance offering of the IBM International Passport Advantage Agreement. This fee service enhances customer productivity by providing voice and/or electronic access into the IBM support organizations. IBM includes Software Maintenance with each program acquired during the coverage period. The coverage period means the period commencing on the date you acquire the program up to the first or second anniversary date, depending on whether you acquired coverage for one or two anniversaries. The coverage period for Software Maintenance acquired in the two months preceding an anniversary date will be extended to the next applicable anniversary date. While your Software Maintenance is in effect, IBM provides you assistance for your (1) routine, short duration installation and usage (how-to) questions; and (2) code-related questions. IBM provides assistance via telephone and, if available, electronic access, only to your information systems (IS) technical support personnel during the normal business hours (published prime shift hours) of your IBM support center. (This assistance is not available to your end users.) IBM provides Severity 1 assistance 24 hours a day, every day of the year. For additional details, consult your IBM Software Support Guide at: Software Maintenance does not include assistance for (1) the design and development of applications, (2) your use of programs in other than their specified operating environment, or (3) failures caused by products for which IBM is not responsible under this agreement. For more information about the Passport Advantage Agreement, refer to the IBM International Passport Advantage Agreement Software Announcement , dated July 10, 2001, or visit the Passport Advantage Web site at: IBM Operational Support Services Support Line: No AIX /UNIX Upgrade Protection Applies: No Entitled Upgrade for Current AIX/UNIX Upgrade Protection Licensees: No iseries Software Subscription Applies: No Variable Charges Apply: No Educational Allowance Available: Not applicable Prices IBM DB2 Records Manager User Licensing has changed with this announcement. Records Manager, previously sold per Server and Named User, will now be sold based on per Server and Concurrent User. As a result, the price for Records Manager Users has been changed accordingly. Records Manager Server pricing remains unchanged with this announcement. IBM Records Manager V2.1 (5724-E10) pricing is available through Passport Advantage. Passport Advantage For Passport Advantage and charges, contact your authorized IBM Lotus Business Partner. Additional information is also available on the Passport Advantage Web site: Global Financing IBM Global Financing offers competitive financing to credit-qualified customers to assist them in acquiring IT solutions. Our offerings include financing for IT acquisition, including hardware, software, and services, from both IBM and other manufacturers or vendors. Offerings (for all customer segments: small, medium, and large enterprise), rates, terms, and availability can vary by country. Contact your local IBM Global Financing organization or visit the Web at: /handbook.html

7 Order Now To order, contact the Americas Call Centers, your local IBM representative, or your IBM Business Partner. To identify your local IBM representative or IBM Business Partner, call 800-IBM-4YOU ( ). Phone: 800-IBM-CALL ( ) Fax: 800-2IBM-FAX ( ) Internet: ibm Mail: The Americas Call Centers Dept. SE001 P.O. Box 2690 Atlanta, GA Reference: SE001 The Americas Call Centers, our national direct marketing organization, can add your name to the mailing list for catalogs of IBM products. Note: Shipments will begin after the planned availability date. Trademarks iseries is a trademark of International Business Machines Corporation in the United States or other countries or both. DB2, DB2 Universal Database, and AIX are registered trademarks of International Business Machines Corporation in the United States or other countries or both. Microsoft is a trademark of Microsoft Corporation. Windows is a registered trademark of Microsoft Corporation. UNIX is a registered trademark of the Open Company in the United States and other countries. Lotus is a registered trademark of Lotus Development Corporation and/or IBM Corporation. Other company, product, and service names may be trademarks or service marks of others