Document Management and Records Management in SharePoint Scott Jamison

Transcription

1 Document Management and Records Management in SharePoint 2013 Scott Jamison

2

3

4

5

6

7

8

9

10

11

12

13

14 Chief Architect & CEO

15

16

17 Digital Asset Management Document Imaging Workflow Document Management Records Management

18 Enterprise Content Management Create Control Protect Create and organize content easily Manage content policy, information architecture and taxonomy Reduce risk and manage compliance with centralized tools

19 1 2 3 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

20

21 What is Document Management? Approach to and practice of tracking and storing editable electronic documents throughout their lifecycle

22 What is Records Management? Discipline of identifying, classifying, archiving, preserving, and destroying records according to a set of pre-defined standards

23 Why Document and Records Management? Practical: Documents are easier to find & use Hygiene is a good thing Reduce storage costs Legal: Increasing pressure to manage risk 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

24 Document and Records Management Challenges Heavy reliance on IT Poor user adoption of tools and solutions Difficulty applying retention policies to content High costs of complying with new laws and regulations Difficulty providing access to controlled records

25 Records Management Strategy You should view things like retention and records management as a component of the overall document lifecycle to reduce risk and improve compliance with increased adoption

26 Publish/ Archive/ Create Review Declare Destroy Collaborate Approve Expire

27

28

29 Two key goals for SharePoint 2013: Investment in cloud-first. For example, you can now do ECM & records center in the cloud. By making most aspects of content easier to use, you get better adoption and information governance.

30 Drag & Drop Sky Drive Pro Share & Follow

31 Drag & Drop

32

33 SkyDrivePro

34

35 SkyDrivePro Limits on syncing content in SkyDrive Pro and other SharePoint libraries You can sync up to 20,000 items in your SkyDrive Pro library, including folders and files. You can sync up to 5,000 items in other SharePoint libraries, including folders and files. In any library, you can download files up to 2 GB. You *can* use default metadata with SkyDrive Pro!

36 Share & Follow

37

38 Site Retention Site Mailboxes Cloud Parity

39 Site Retention

40 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.

41 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

42

43 Site Mailboxes

44 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

45

46 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)

47

48

49

50

51

52 1. Identify Document and Records Management Roles 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 (consumers and contributors). 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.

53 2. Analyze Organizational Content Task content managers and records managers to survey document usage in the organization to determine which documents should fall into personal/team/organization and potentially become records

54 3. Encourage Quality Metadata Define metadata and tagging value ownership Treat your content contributors differently than your consumers Create Columns, Not Folders Or Create Columns, *And* Folders Assign Default Metadata Values

55

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

57 Records Description Media Record category Retention Disposition Contact 401k plans Description of employee Employee Benefit Web pages 7 years benefit plan. Plans None Kathi Flood Insurance plans Description of employee Employee Benefit Print 7 years insurance plan. Plans None Reshma Patel Pension plans Description of employee Employee Benefit Print 7 years pension plan. Plans None Reshma Patel Summaries of hours Payroll Electronic worked, overtime, and timesheets documents salaries paid. Payroll Records 7 years Destroy Reshma Patel Supplementary payroll information Vendor invoices Product surveys Medical plan enrollment forms Summaries of sick time, vacation time, and other non-salary payroll items. Records of goods or services purchased from vendors. Customer satisfaction survey. Employees' sign-up forms for health plans. Electronic documents Payroll Records 7 years Destroy Reshma Patel Print Invoices 2 years Destroy Eric Lang Web pages Survey Materials 1 year Archive Molly Dempsey Electronic documents Resumes Resumes received. Mixed Personnel Records Personnel Records 99 years Destroy Reshma Patel 99 years Destroy Reshma Patel

58

59 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

60

61 6. Design Your Solution Determine whether to create a records archive, to manage content in place, or to use a combination of the two Define content types, libraries, policies, and, metadata that determines to which location to route a document

62

63 In-Place vs. Records Center

64 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.

65 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.

66 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.

67 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.

68 Factor Records archive In-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. or location. Restrict which users can view records Ease of locating records (for records managers) Maintain all document versions as records Yes. The archive specifies the permissions for the record. Easier. All records are in one location. The user must explicitly send each version of a document to the archive. There may be different policies for records and active documents based on the current content type No. Permissions do not change when a document becomes a record. However, you can restrict which users can edit and delete records. Harder. Records are spread across multiple collaboration sites. Automatic, assuming versioning is turned on.

69 Factor Records archive In-place records Harder, although a link to the Ease of locating information (for document can be added to the team collaborators) collaboration site when the Easier. document becomes a record. Clutter of collaboration site Ability to audit records Administrative security Collaboration site contains only active documents. Yes. A records manager can manage the records archive. Collaboration site contains active and inactive documents (records), although you can create views to display only records. Dependent on audit policy of the collaboration site. Collaboration site administrators have permission to manage records and active documents

70 Factor Records archive In-place records Number of sites to manage Scalability Ease of administration Storage More sites. Separate archive in addition to collaboration sites. Relieves database size pressure on collaboration sites. Separate site or farm for records. Can store records on different storage medium. Fewer sites. Maximum site collection size reached sooner. No additional site provisioning work beyond what is already needed for the sites that have active documents. Active documents and records stored together.

71 7. Plan How Content Becomes Records

72 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.

73 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.

74 7. Plan How Content Becomes a Record Documents Description Media Source location Becomes 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

75 8. Plan Integration Determine: Need records? Manage records within SharePoint Manage records within Exchange

76

77 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.

78 10. Consider 3 rd Party Add-Ons Lightweight ECM solutions and consulting Full DoD Compliance Compliance and Security

79 Full-Trust 3rd Party Solutions Office 365 (SharePoint 2010) SharePoint 2010 On-Premises Office 365 (SharePoint 2013) SharePoint 2013 On-Premises Location-based Metadata Records Center SkyDrive Pro Site Retention Site Mailboxes

80 Best Practices: Recap 1. Determine what you really need (lightweight doc management? 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 onpremise or cloud (or a hybrid) 6. Consider custom development or 3 rd party for missing requirements 7. Plan (don t use ready, fire, aim )

81

82 Resources Essential SharePoint Overview of document management in SharePoint Record categories worksheet &clcid=0x409

83

84

85

86

87 Thank you! Blog: