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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 , 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

Create Collaborate Review Approve Publish/ Declare Expire Archive/ Destroy

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.

Site Retention Site MailboxesCloud Parity

Site Retention

Compliance features of SharePoint Server 2013 have been extended to sites. You can create and manage retention policies in SharePoint Server 2013, and the policies will apply to SharePoint sites.

Site Retention Compliance officers create policies, which define the following: The retention policy for the whole site What causes a project to be closed When a project should expire

Site Mailboxes

Easy to add an associated mailbox for a site Drag s from Outlook into document libraries Manage s as records Close and expire sites and mailboxes together

Cloud Parity Records Center: cloud parity Document IDs Multi-State Retention Per-Item Audit Reports Hierarchical File Plans File Plan Report In-Place Records Management in the cloud Taxonomy Central Content Types Content Organizer Virtual Folders (Metadata Navigation)

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

4. Develop a File Plan What? Planning document. Kinds of items for records Where records are stored Retention periods for records Who is responsible for managing the various kinds of records

RecordsDescriptionMediaRecord categoryRetentionDispositionContact 401k plans Description of employee benefit plan. Web pages Employee Benefit Plans 7 yearsNoneKathi Flood Insurance plans Description of employee insurance plan. Print Employee Benefit Plans 7 yearsNoneReshma Patel Pension plans Description of employee pension plan. Print Employee Benefit Plans 7 yearsNoneReshma Patel Payroll timesheets Summaries of hours worked, overtime, and salaries paid. Electronic documents Payroll Records7 yearsDestroyReshma Patel Supplementary payroll information Summaries of sick time, vacation time, and other non-salary payroll items. Electronic documents Payroll Records7 yearsDestroyReshma Patel Vendor invoices Records of goods or services purchased from vendors. PrintInvoices2 yearsDestroyEric Lang Product surveys Customer satisfaction survey. Web pagesSurvey Materials1 yearArchiveMolly Dempsey Medical plan enrollment forms Employees' sign-up forms for health plans. Electronic documents Personnel Records99 yearsDestroyReshma Patel ResumesResumes received.MixedPersonnel Records99 yearsDestroyReshma Patel

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

In-Place vs. Records Center

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 Records

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 Integration Determine: Need records? Manage records within SharePoint Manage 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 DoD 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 Getting started with SharePoint What’s in Records Management (TechNet) Record categories worksheet Record categories worksheet &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

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