Can You Do Records
Management in
SharePoint 2013?
Florida Gulf Coast chapter of ARMA International (FGCARMA)
Bill Manago, CRM 15 October 2013
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Polling the Room
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Records Managers?
Seasoned Records Managers?
Legal?
IT?
Risk?
Others?
Have implemented an ERMS?
Planning to implement an ERMS?
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SharePoint 2013 Records Center
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Examine Basic Requirements
For A Records Management
Program
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Building a House
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RIM Steering/Planning Committee
RIM
Professional
Executive
Sponsor
IT
Representative
Legal
Business
Units
Risk
User Group
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RIM Program Plan
Managing
Social Media
Managing
Records
Managing
Non-Records
Web, Video,
Audio
Legal Holds
Managing
Email
The Cloud?
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Compliance
Monitoring
RIM Program Tools
Record
Series
Folder
Structure
Retention
Rules
Metadata
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Disposition
Processing
Approval
Process
Destruction
Certificates
Search &
Retrieval
Critical Configuration Decision:
Manual Process
or
Rules-Based Process
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SP Information Management Policy
Rules-Based Policy
• The organization can decide whether Records Management should be a
rules-driven process or a manual process or a combination of both.
• For example, a rules based process could be a policy that a document stored
in a particular folder or library makes it implicitly a record.
• For example, a medical bills submission. Once the bills are submitted for
approval in a particular folder it becomes a record.
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© Copyright 2013 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.
Information Management Policy
Manual-Based Policy
• For a manual process the example could be a statement of work. Once the
signed statement of work is received from the client, the project manager
would want to manually declare it as a record, not allowing anyone to modify
or delete it.
• Hence implementing a Records Management solution typically depends on
the organization's policies for managing information.
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Record Series in SharePoint
aka Record Categories
aka Classification Schema
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Hierarchical Structure
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SharePoint File Plan
The file plan is the primary Records Management planning document in
SharePoint Server 2007, 2010, and 2013.
The file plan typically:
• Describes the kinds of items and content types the organization acknowledges
to be records.
• Describes what the broader category of records the items and content types
belong to.
• Indicate where records will be stored.
• Describes retention periods for records.
• Assigns responsibilities for managing the records.
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© Copyright 2013 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.
SharePoint Content Types
A site content type describes the attributes
of a document, folder, or list item. Each site
content type can specify the following:
• A set of properties.
• Forms to edit the properties and display
them.
• Workflows you want to make available
for the document or list item.
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© Copyright 2013 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.
SharePoint Content Types
• Content types may be organized into a hierarchy The content type
hierarchy enables a content type to inherit its characteristics from another
content type.
• New site content types may be based on a parent content type.
• You may choose an existing (parent) site content type on which to create
a new site content type.
• The new site content type will inherit the attributes of the parent.
• After you create a new site content type, you can make changes to it,
such as adding or removing columns, without affecting the parent.
• When you update a parent content type, you can also choose whether
those changes are updated in child content types.
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© Copyright 2013 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.
SharePoint Content Types
Child site content types inherit from the parent.
• Content types that you create are based on a parent content type and thus
inherit the attributes of the parent.
• When you update a parent content type, you can choose whether you want
the child site content types to inherit those changes.
• The attributes that can be inherited from a parent content type are:
• Document template
• Read-only setting
• Workflows
• Columns
• Organization-defined, custom metadata fields
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© Copyright 2013 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.
SharePoint Content Types
You can specify the following attributes for each content type:
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The columns (metadata) that you want to assign to items of this type.
The custom New, Edit, and Display forms to use with this content type.
The workflows that are available for items of this content type.
The custom solutions or features that are associated with items of this content
type.
The information management policies that are associated with items of this
content type.
The Document Information Panel, that displays in compatible Microsoft Office
programs for items of this content type.
The document template for new items of this type (document content types
only).
The document conversions that are available for items of this content type
(document content types only).
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SharePoint Content Types
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SharePoint Content Types
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© Copyright 2013 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.
Retention Rules
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Retention Rules
• Time Based
- Destroy 25 years after date created
• Event Based
- Destroy immediately when no longer needed, marked obsolete
• Event-Time
- Destroy 15 years after date employee retires
• OR Condition X
- Destroy 10 years from date created OR 7 years from date last used
• AND Condition X
- Destroy 10 years from date created AND 7 years from date last used
• Keep Permanent X
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Retention Rules
• By Content Type
• By Library
• By Folder
• For Non-Records
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© Copyright 2013 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.
Retention Rules
• Retention Triggers
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Date Created
Date Modified
Date Declared a Record
• Time Period Options
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Days
Months
Years
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Typical Disposal Actions
• Cutoff X
• Archive X
• Interim Transfer
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• Permanent Transfer X
• Destroy
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• Keep Permanent X
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Retention Schedule
• Apply to Non-Records
• Apply to Both Records
and Non-Records
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End-User Burdon
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End-User as Records Managers
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Is this a record?
When do I declare it?
Where do I declare it?
What metadata am I required
to populate?
• Why do I have to do this?
• What’s in it for me?
This is not my job……..
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SharePoint Filing Methods
Users can send records to the Records Center in a variety of ways, including:
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Send To
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Automated via content type
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Automated via workflows
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‘Send To’ Function
• When it’s a confirmed record, the user can
send a record to the Records Center via the
Send To function.
• The Send To has to be set up in Central
Administration or Office 365 Administration
by an administrator.
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Automated via Content Type
• This approach relies on the Content Organizer, which is essentially
a lightweight workflow engine, to route content based on its content
type, metadata values, etc.
• Content that meets the rules outlined in the Content Organizer is
routed to the appropriate location in the Records Center.
• Those records that do not meet any rules (for example, because
metadata is missing or doesn’t match any existing rules) is stored in
the Drop Off Library where they can be manually filed by records
staff.
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Automated via Custom Workflows
Workflows can be designed to send records to the Records Center at a
specified step or as the result of a specific response – for example,
when a contract is signed, or a proposal is designated as approved.
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© Copyright 2013 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.
Other Limitations
© Copyright 2013 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.
Document Import and Export Capability
• The Import/Export function provides the ability to export selected records
and their metadata into a specified output format.
• In addition, records also need to be imported into SharePoint through
Import/Export capabilities.
• The import and export functionality provided should also include the ability
to extend the input and output formats (data migration) and to map specific
record attributes to these formats.
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© Copyright 2013 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.
Record Relationships (Links) Capability
• This provides the ability to create bi-directional, parent-child and peer-topeer relationships between two or more records.
• Relationships provide the ability to maintain connectivity between
associated records as well as the ability to enumerate superseding and
supporting record information.
• Link email messages to its attachments.
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Vital Records Capability
• This includes specific functionality that addresses those records that have
been identified as critical or “vital” to the organization.
• These capabilities include the ability to identify, track and systematically
review these records and their designation.
• Replace outdated vital records with the most recent version(s).
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© Copyright 2013 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.
For More Information:
- MS SharePoint 2013 web site
- AIIM Website – SharePoint Records Center
- YouTube
© Copyright 2013 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.
Thank you
© Copyright 2013 Hewlett-Packard Development Company, L.P. The information contained herein is subject to change without notice.