New 2012 Guide! E-Records Institute SharePoint Governance: Leveraging MS SharePoint 2010 for Document Management & Workflow Including Electronic Records Management & More A Management Primer Robert F. Smallwood, MBA IMERGE Consulting Leveraging SharePoint 2010 for DM & Workflow 2012 R. F. Smallwood Do Not Copy 1
Who we are E-Records Institute is a specialized consulting practice of IMERGE Consulting. IMERGE is North America's largest and most experienced team of experts in the broader fields of enterprise content management (ECM) and business process optimization. IMERGE is also a leading provider of education courses in records management, electronic document capture and e-discover. IMERGE has offices in major cities including Boston, San Francisco, Toronto, Chicago, Houston, Los Angeles, Minneapolis, Seattle, New Orleans and Washington, DC. What we have achieved Our track record speaks for itself: We have completed more successful projects, published more articles and given more expert presentations than any other enterprise content management consulting firm in the world. We are proud that our organizations include some of the world s best and largest public and private organizations. Learn more about us at imergeconsult.com or contact an IMERGE professional today to discuss putting our expertise to work for you. About the Author Robert Smallwood, MBA, Master of Information Technology, Laureate of Information Technology is a founding Partner of IMERGE Consulting and has been recognized as one of the industry s 25 Most Influential People and Top 3 Independent Consultants by KM World magazine. Some of his past organizations include Bank of America, AT&T, Xerox and IBM. He has published more than 100 articles and given more than 50 conference presentations on document, records and content management. He is the author of several books including, Safeguarding Critical E-Documents, and, Taming the Email Tiger, and the upcoming books, Managing Electronic Records, Information Governance for Business Documents & Records, to be published by Wiley & Sons. Leveraging SharePoint 2010 for DM & Workflow 2010 R. F. Smallwood Do Not Copy 2
LEVERAGING MS SharePoint 2010 for Document Management & Workflow Table of Contents Executive Summary...4 Document Management...5 SharePoint Governance: First Steps...6 SharePoint: The Panacea for DM?...9 SharePoint Cannot Remedy Poor DM...10 SharePoint 2010: The 10 Most Important Features...11 DM Improvements in SharePoint 2010 vs. 2007...13 Additional SharePoint 2010 Improvements for DM...17 How Document Management Has Evolved in SharePoint 2010...23 More on Document Management in SharePoint 2010...26 Is SharePoint 2010 the Answer for Document Management?...28 Overview of Document Management in SP Server 2010...31 The Document Management Planning Process for SP2010...33 Maximizing SP2010 DM-Using Managed Terms and Keywords...48 Workflows in SharePoint 2010...65 InfoPath Forms for Workflows...65 Workflow Task Forms in Microsoft SharePoint Server 2010...67 SharePoint 2010 Metadata and Taxonomy Management...68 Information Lifecycle Model...71 Electronic Records Management Detailed Definition & ECM Role...72 Records Management Fundamentals...74 E-Records Management Summary...77 New RM Capabilities in SharePoint 2010...77 Improved RM in SharePoint 2010...78 How SharePoint 2010 Improves on ERM...79 ERM Using SharePoint 2010 Records Center...81 SharePoint 2010 Records Management Capabilities & Changes...86 SharePoint 2010 Records Management Review...87 Glossary of Terms...88 SP2010 for DM & Workflow 2012 R. F. Smallwood Do Not Copy 3
Executive Summary Document management controls the life cycle of documents in organizations how they are created, reviewed, published, and consumed, and how they are ultimately disposed of or retained. SharePoint 2010 has greatly improved document management features over SharePoint 2007 it seems Microsoft listened to concerns of system administrators, users, and records managers. This report provides rich detail on how to best leverage new SP2010 features in implementing document management and workflow, and also how to administer SP2007 document management, workflow, information policies and more. A well-designed document management system promotes finding and sharing documents easily. It promotes knowledge management and information mining. It helps an organization meet its legal and compliance requirements. It provides features at each stage the document life cycle, from template creation to document authoring, reviewing, publishing, auditing, and ultimately destroying or archiving. SharePoint 2007 was a good starting point, and now SP2010 is a platform that helps organizations accomplish their document management and workflow implementation goals, with support for records management. Document management planning considerations include how content will be organized in document libraries, the metadata to define for each type of content, the workflows that will be required during the content's lifecycle, and the policies to apply to the content. Document management is a subset and component of the broader term of enterprise content management (ECM) and is related to document imaging, workflow, records management and digital asset management. This Management Guide the most complete and current available today will assist document managers, records managers, system administrators, IT managers, compliance managers and others involved in document management, workflow, electronic records and e-discovery implementations using SharePoint 2010 to make intelligent, informed decisions. 4
Document Management DEFINING DOCUMENT MANAGEMENT Document management is a component of ECM. Document management controls the life cycle of documents in organizations how they are created, reviewed, published, and consumed, and how they are ultimately disposed of or retained. An Electronic Document Management System (EDMS or DMS) is software or a suite of programs designed to store and track electronic documents. In more detail, a document management system is used to track and store electronic documents such as word processing and spreadsheet files, digital report files, and scanned images of paper-based documents. Document management is a subset and component of the broader term of enterprise content management (ECM) and is related to document imaging, workflow, records management and digital asset management. A well-designed document management system promotes finding and sharing documents easily. It organizes content in a logical way, and makes it easy to standardize content creation and presentation across an enterprise. It promotes knowledge management and information mining. It helps an organization meet its legal and compliance requirements. It provides features at each stage the document life cycle, from template creation to document authoring, reviewing, publishing, auditing, and ultimately destroying or archiving. 1 According to a survey by Forrester Research, more than 75% of organizations invested in document management in 2011, and this strong trend will continue for the foreseeable future The Elements of a Document Management System An effective document management solution specifies: What types of documents and other content can be created. What templates to use for each type of document. What metadata to provide for each type of document. Where to store documents at each stage of a document s life cycle. How to control access to a document at each stage of its life cycle. How to move documents within the organization as team members contribute to document creation, review, approval, publication, and disposition. What policies to apply to documents so that document-related actions are audited, documents are retained or disposed of properly, and content important to the organization is protected. 5
How documents are converted as they transition from one stage to another during their life cycles. How documents are treated as corporate records, which must be retained according to legal requirements and corporate guidelines. 1 SharePoint Governance: First Steps Like most things in life, An ounce of prevention is worth a pound of cure. In the case of SharePoint deployments for managing content, especially documents and records, organizations can avoid a lot of headaches and future information governance (IG) risks if they invest time and deliberation in planning how they will deploy SharePoint, and what its business objectives are, and then making all the necessary policy decisions before piloting a roll out of the site to users. This planning process necessarily involves consulting with users about their collaboration, business process, document usage and information storage needs. It also may mean including the records and information management (RIM) staff for guidance on crucial records management issues, and legal staff for legal and compliance requirements. Otherwise, users will start creating and storing documents without knowing what rules to follow, or why the rules exist, and they will find their own workarounds to satisfy their unique document management business requirements. Critical to success in most SharePoint deployments is the input and influence of a Business Analyst. For instance, if you restrict file size requirements too much, the users will store them somewhere perhaps unsecured in the cloud. If you do not allow certain file types, and the users need them, they will find a place to store them. And soon you will have all sorts of variations of folder and file systems and scattered documents and records which results in content chaos. This is more than a mess. It is a costly mess, since economically and efficiently retrieving e-documents and records during e-discovery for legal proceedings will be fraught with search and retrieval challenges. There are also regulatory compliance factors that must be incorporated into SharePoint governance decisions for most organizations. Critical to success in most SharePoint deployments is the input and influence of a Business Analyst, and particularly one who is adept at business process management (BPM) and has a solid understanding of taxonomy principles. If they can bring a library science background to the table, so much the better. 1 http://technet.microsoft.com February, 2009 3 Microsoft SharePoint DM White Paper 6
Where DO You Start? First develop a Problem Statement and formulate Business Objectives for the SharePoint deployment. Then align those objectives with your overall Strategic Plan. Start from a high-level, with strategy and corporate governance issues. Develop a Problem Statement so you know what you are trying to accomplish, and then develop measureable, time-constrained Business Objectives so progress and success toward milestones can be measured. Next, be sure to align these objectives with your organization s overall Vision Statement or Strategic Plan. Aligning technology with business considerations is key to a successful SharePoint deployment. Determine the scope of the SharePoint deployment just where are the boundaries of documents and content types you are going to manage? Which documents will be managed by SharePoint? Which are more active and may need to be externalized and managed by a third party solution? What about records management? E-discovery requirements? Which document types are classified as archival and not needed to be actively managed in SharePoint? These are the types of questions you should be asking, not only from an information governance perspective, but also for optimizing future system performance of SharePoint. Better processes and fewer documents mean faster performance when you are in the heat of the business battle. Who s on First? Or, in other words, Who owns the system? And beyond that, who will contribute documents, who will be allowed to view and/or edit documents, and who will manage the deployment of the SharePoint site? Key questions are: Who is the executive sponsor? Who is responsible for completing the initial deployment project? Who is responsible for day-to-day administration of the site? Who defines and sets up document and content types? List values? Who owns the content in the site? Who is responsible for controlling access to the site? For making changes as users roles change or they are terminated? Who will train users? Initially? On an ongoing basis? Roles & Responsibilities Clear roles and their associated responsibilities for contributing to, maintaining and utilizing the content in SharePoint must be established. Some examples of roles are: 7