CreateControlProtect Create and organize content easily Manage content policy, information architecture and taxonomy Reduce risk and manage compliance with centralized tools Enterprise Content Management
123 ECM has evolved, where content creation and organization is intuitive and simple through discovery and collaboration Ensure compliance is achieved through content policy, information architecture and taxonomy Centralized eDiscovery across the Office platform helps protect organizations by improving compliance without affecting user productivity
What is Records Management? Practice of identifying, classifying, archiving, preserving, and destroying records according to a set of pre-defined standards
Why Records Management? Increasing pressure to manage risk more effectively through improved compliance with regulatory and corporate policies Government and industry regulations U.S. Sarbanes-Oxley Act (SOX) SEC 17-a/b DOD 5015.2, MoReq, ISO, and HIPAA Legal eDiscovery U.S. Federal Rules of Civil Procedure
Records Management Challenges Difficulty applying retention policies to content High costs of complying with new laws and regulations Difficulty providing access to controlled records Heavy reliance on IT Poor user adoption of records management solutions
Records Management Strategy You should view retention and records management as a component of the overall document lifecycle to reduce risk and improve compliance with increased adoption
Two key goals for SharePoint 2013: Investment in ‘cloud-first’. For example, you can now do records center in the cloud. By making most aspects of content easier to use, you get better adoption and information governance.
1. Identify Records Management Roles Records managers and compliance officers to categorize the records in the organization and to run the records management process. IT personnel to implement the systems that efficiently support records management. Content managers to find where organizational information is kept and to make sure that that their teams follow records management practices. General users who work with content daily.
2. Analyze Organizational Content Task records managers and content managers to survey document usage in the organization to determine which documents and other items can/should become records
3. Encourage Quality Metadata Treat your content contributors differently than your consumers Create Columns, Not Folders* Then…Create Folders and Assign Default Metadata Values Train users on the perils of the Title property
5. Develop Retention Schedules For each record type, determine: When it is no longer active (being used) How long it should be retained after that How it should ultimately be disposed of Can apply to items or entire sites
6. Design Your Solution Determine whether to create a records archive, to manage records in place, or to use a combination of the two Define content types, libraries, policies, and, metadata that determines the location to route a document to
Is the governance of the collaboration site appropriate for managing records? Is your industry subject to regulatory requirements that mandate records be separated from active documents? Should the administrator of a collaboration site be trusted to manage a site that contains records? You might want to store records in a site that uses more restricted access than the collaboration site, or in a site that is backed up on a different schedule.
In-Place vs. Records Center How long will the collaboration site be in use? If records will have to be kept for longer than the project is ongoing, selecting an in-place records management strategy means that you will have to maintain the collaboration site even after it is no longer used.
In-Place vs. Records Center Will the project members need frequent access to the documents after the documents have become records? If you use an in-place approach, project members can access documents in the same manner regardless of whether the documents are active or are records.
In-Place vs. Records Center Are records managers in your organization responsible for only records, or are they responsible for all information, regardless of whether it is active or a record? If records managers are responsible only for official records, having a separate Records Center site might be easier for them.
FactorRecords archiveIn-place records Managing record retention The content organizer automatically puts new records in the correct folder in the archive’s file plan, based on metadata. There may be different policies for records and active documents based on the current content type or location. Restrict which users can view records Yes. The archive specifies the permissions for the record. No. Permissions do not change when a document becomes a record. However, you can restrict which users can edit and delete records. Ease of locating records (for records managers) Easier. All records are in one location. Harder. Records are spread across multiple collaboration sites. Maintain all document versions as records The user must explicitly send each version of a document to the archive. Automatic, assuming versioning is turned on.
FactorRecords archiveIn-place records Ease of locating information (for team collaborators) Harder, although a link to the document can be added to the collaboration site when the document becomes a record. Easier. Clutter of collaboration site Collaboration site contains only active documents. Collaboration site contains active and inactive documents (records), although you can create views to display only records. Ability to audit recordsYes. Dependent on audit policy of the collaboration site. Administrative security A records manager can manage the records archive. Collaboration site administrators have permission to manage records and active documents
FactorRecords archiveIn-place records Number of sites to manage More sites. Separate archive in addition to collaboration sites. Fewer sites. Scalability Relieves database size pressure on collaboration sites. Maximum site collection size reached sooner. Ease of administration Separate site or farm for records. No additional site provisioning work beyond what is already needed for the sites that have active documents. Storage Can store records on different storage medium. Active documents and records stored together.
7. Plan How Content Becomes a Record You can use the following techniques convert active documents to records: Manually declaring a document to be a record. Defining a policy that declares a document to be a record or sends a document to a Records Center site at a specified time. Creating a workflow that sends a document to a Records Center site. Using a custom solution that is based on the SharePoint object model.
7. Plan How Content Becomes a Record Is compliance enforced or voluntary? Can you depend on the cooperation of users in your organization to comply with records management processes? In general, avoid manual processes. However, where they are needed, create suitable training and monitoring to make sure that team compliance. Will content be stored on SharePoint Server 2013 document management servers? Are you maintaining physical content? If no electronic version of a paper document exists, track the item by using a list that has associated policies and workflows.
7. Plan How Content Becomes a Record DocumentsDescriptionMediaSource locationBecomes a record... Benefit plan Description of employee benefit plan. Web pages SharePoint Server 2013 document library Using a custom workflow associated with expiration policy Insurance plan Description of employee insurance plan. Print Physical document associated with list item in SharePoint Server 2013 By sending it to a physical vault and creating a list item in the Records Center site to track (using a barcode) Payroll timesheets Summaries of hours worked, overtime, and salaries paid. Electronic documents Payroll records server not based on SharePoint Server 2013 Using a custom program Product development files Specifications of products and associated documents. Electronic documents SharePoint Server 2013 document library Using custom workflow associated with expiration policy and manually by using Send to command
8. Plan Email Integration Determine: Need email records? Manage email records within SharePoint Manage email records within Exchange
9. Plan Compliance Reporting You should document your records management plans and processes If your enterprise becomes engaged in records-related litigation, you might have to produce the guidelines, plans, and metrics on effectiveness.
10. Consider 3 rd Party Add-Ons Lightweight ECM solutions and consulting Full DoD5015.02 Compliance Compliance and Security
Office 365 (SharePoint 2010) SharePoint 2010 On-Premises Office 365 (SharePoint 2013) SharePoint 2013 On-Premises Location-based Metadata Records Center Content Search Web Part Site Retention Site Mailboxes Full-Trust 3rd Party Solutions
Best Practices: Recap 1.Determine what you really need (full RM? Something else?) 2.Identify roles and get buy-in 3.Encourage great content management through simple policies 4.Determine whether you need in-place or a records center (or a hybrid) 5.Determine whether you can use on- premise or cloud (or a hybrid) 6.Consider custom development or 3 rd party for missing requirements 7.Plan (don’t use “ready, fire, aim”)
Resources Essential SharePoint 2010 http://tinyurl.com/essentialsp2010 Getting started with SharePoint 2013 http://tinyurl.com/sp2013start What’s in Records Management (TechNet) Record categories worksheet Record categories worksheet http://go.microsoft.com/fwlink/p/?LinkID= 179987&clcid=0x409
Related Sessions SPC262 What’s new with ECM in SharePoint 2013 SPC070 Deep Dive on Managing Content Types at Scale SPC174 Overview of eDiscovery across the Office platform HOL020 Working with eDiscovery