Author: Soumya R Mohapatra
Introduction
Defence and government agencies face a unique challenge: maintaining strict information control while enabling collaboration across multiple user groups, security levels, and functional areas. The U.S. DoD 5015.02-STD sets one of the world’s most rigorous standards for records management. IBM Enterprise Records (IER) provides a flexible, highly secure platform that meets these requirements and supports multi-tier user hierarchies.
Why Multi-Tier Hierarchies Matter
In defence environments, data isn’t just data — it is classified information that can be Confidential, Secret, or Top Secret, with access restricted to specific roles and clearance levels. A robust system must:
- Support segregation of duties — Records Managers, Security Officers, and Users have different responsibilities.
- Allow hierarchical inheritance — permissions should cascade down from categories to subfolders and records.
- Provide auditable, defensible actions — every classification, retention change, and disposition must be logged.
- Adapt to organizational changes — users move departments, projects end, and new retention rules apply.
Architecture Overview
Below is a typical multi-tier IER setup we used in a DoD-like environment. This architecture ensures that identity and access management flows from a single source of truth (LDAP) and is enforced consistently across CPE and IER, while enabling reporting and compliance tracking.
Designing the Multi-Tier File Plan
A well-designed file plan is at the heart of multi-tiered security.
1. Create Organizational Categories: Define high-level categories by department, division, or mission area.
2. Configure Security Parents: Apply inherited security at higher nodes so access cascades to subfolders.
3. Use Marking Sets for Clearance: Implement hierarchical markings such as Confidential → Secret → Top Secret.
4. Leverage Security Scripts: Run ICN security scripts to enforce repository-level security and align file plans.
5. Enable Import/Export: Use import/export capabilities for file plans to accelerate setup, testing, and replication.
Workflow & Approval Integration
IER integrates with workflow engines so record actions like declaration, transfer, or destruction require approval from the right authority. This supports DoD requirements for multi-step review and authorization.
FOIA, Audit & Reporting Readiness
Defense agencies are frequently subject to FOIA requests and legal holds. IER provides:
- Comprehensive Audit Logging – Every access, modification, or destruction is logged.
- Hold Process Support – Records can be frozen regardless of retention state.
- Cognos Report Integration – Generate compliance reports and dashboards for regulators and leadership.
- Custom Reports – Tailor reporting for department-specific oversight.
Bringing Stakeholders Together
Modern records management requires collaboration between IT, Records Managers, and Business Owners. IER supports this by providing role-based desktops, granular delegation, and centralized policy enforcement.
Why IBM Enterprise Records Excels for Defense
- Compliance-Ready: DoD 5015.02-STD & ISO 15489 aligned.
- Highly Configurable: Flexible security scripts, marking sets, and group-based mapping.
- Scalable: Supports thousands of users and millions of records.
- Interoperable: Integrates with external repositories, supports archival transfer to NARA.
- Audit-Proven: End-to-end tracking of record lifecycle, with Cognos reporting.
Conclusion
In high-security environments, you cannot compromise on control or compliance. IBM Enterprise Records provides a defensible, scalable, and auditable platform that meets the toughest standards while remaining flexible enough to evolve. By leveraging LDAP, security scripts, file plan controls, and Cognos reports, defense agencies can build a future-proof records hierarchy that enables mission success.