Can You Do Records Management in SharePoint 2013?

1. Can You Do Records Management in SharePoint 2013? Florida Gulf Coast chapter of ARMA International (FGCARMA) Bill Manago, CRM 15 October 2013

2. Polling the Room • Records Managers? • Seasoned Records Managers? • Legal? • IT? • Risk? • Others? • Have implemented an ERMS? • Planning to implement an ERMS?

3. SharePoint 2013 Records Center

4. Examine Basic Requirements For A Records Management Program

5. Building a House

6. RIM Steering/Planning Committee RIM Professional IT Representative Executive Sponsor Legal Business Units Risk User Group

7. RIM Program Plan Managing Social Media Managing Records Web, Video, Audio Managing Non-Records Legal Holds Managing Email Compliance Monitoring The Cloud?

8. RIM Program Tools Disposition Processing Record Series Approval Process Folder Structure Destruction Certificates Retention Rules Search & Retrieval Metadata

9. Critical Configuration Decision:Manual Processor Rules-Based Process

10. 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.

11. 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.

12. Record Series in SharePointaka Record Categoriesaka Classification Schema

13. Hierarchical Structure

14. 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.

15. 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.

16. 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.

17. 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

18. SharePoint Content Types • You can specify the following attributes for each content type: • 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).

19. SharePoint Content Types

20. SharePoint Content Types

21. Retention Rules

22. 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

23. Retention Rules • By Content Type • By Library • By Folder • For Non-Records

24. Retention Rules • Retention Triggers • Date Created • Date Modified • Date Declared a Record • Time Period Options • Days • Months • Years

25. Typical Disposal Actions • Cutoff X • Archive X • Interim Transfer √ • Permanent Transfer X • Destroy √ • Keep Permanent X

26. Retention Schedule • Apply to Non-Records • Apply to Both Records and Non-Records

27. End-User Burdon

28. End-User as Records Managers • 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……..

29. SharePoint Filing Methods Users can send records to the Records Center in a variety of ways, including: • Send To • Automated via content type • Automated via workflows

30. ‘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.

31. 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.

32. 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.

33. Other Limitations

34. 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.

35. Record Relationships (Links) Capability • This provides the ability to create bi-directional, parent-child and peer-to-peer 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.

36. 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).

37. For More Information:- MS SharePoint 2013 web site- AIIM Website – SharePoint Records Center- YouTube

38. Thank you