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BUILDING A RECORDS

MANAGEMENT PRACTICE

The SharePoint Technology Conference

Amanda Perran

– 6 Time MVP Microsoft SharePoint Server

– Practice Lead, SharePoint - Plato

– vTS – Microsoft

– Co-Author of Beginning SharePoint 2007 & Beginning

SharePoint 2010

– Key Practice Areas: Governance, Information

Architecture and Solution Architecture

Twitter: @amandaperran Email: aperran@platoconsulting.com

This Session is Intended For

• Business Managers

• Technical Managers

• IT Professionals

• Information Managers

Interested in adopting a more formalized approach to Records Management

with SharePoint.

Agenda

Review some key considerations for your organization’s records management

strategy

Discuss an approach to defining some of the elements of a successful Records

Management strategy.

Demonstrate how those items map to SharePoint features by walking through a

fictional scenario

What Organizations Need…

• Protection of Information

• Ease of Management

• Reduce Redundant Activities

• Control Over Access

• Ease of Discovery

• Accountability

• Compliance

What Business Users Need

KEY CONSIDERATIONS

Developing an Electronic Records Management Strategy

What is a Record?

• What type of files?

• When does a file become

a record?

– “As soon as it is created”

– “Everything is a record”

– “Once it has become Final”

What are the Rules?

• Often Records Declaration

Rules are dependant on

Regulatory Requirements or

Legislation

• Ensure they are applicable

to YOUR organization.

What is the Format of a Record?

• Electronic Documents

• Paper Files

• Communications

• Email Messages

• Collaboration Content (Task History,

Calendar Appointments, etc…)

Where Does the Record Go?

• Once a file has been declared as a

record, what happens to it?

Will users still have access to the file for reference?

WHAT ABOUT NON RECORDS?

Observation From the Field:

Achieving Compliance

Observation:

• Many employees have no idea what

Records Administrators do or share their

concerns around managing information

effectively.

Achieving Compliance (Cont’d)

Suggestion:

• Build compliance into the system in a

manner that is completely integrated and

seamless for end users.

– Content Types

– Information Management Policies

– Workflows

KEY ACTIVITIES

Building a Records Practice

Records Practice Development

Identify Document

Types

Create Classification

Plan

Define Policies

Determine File Plan

Identify Your Document Types

• Sales Proposal

• Sales Quote

• Project Charter

• Project Schedule

• Technical Documentation

• Specification Document

• Training Manual

• Training Presentation

Information Classification

Define Processes and Policies

File Hierarchy Planning

Home

Departments

Marketing

Sales

HR

Projects

2012

2011

2010

Committees

Social

Go Green Team!

Workplace Safety

Resources

Forms

Templates

Policies

Regions

North

South

East

File Plan Hierarchy Planning

Information Architecture Hints

Plan in a series of steps and iterations.

Define only to point where value can be attained.

Leverage existing experience.

Don’t skip or rush this stage!

Email Management

• Works best when combined with your

email server solution for archiving.

• Contextual Archiving

– Exchange Managed Folders

– 3rd Party Add-Ons

– Email Enabled Libraries

SHAREPOINT FEATURES

Building a Records Management Practice

Content Types

Structured Rules Inheritance

Corporate Document

Policy Document

Information Technology Policy

Human Resources Policy

Budget Policy

Define: Template / Metadata Expiration Rules Auditing

Define: Human Resources Specific

Metadata Approval Processes

Content Classification

• Managed Metadata Service: Highly Structured Taxonomies

• Site Columns: Centrally Managed & Reusable Metadata

• Folder Hierarchies: File Plans

Structured

• Keywords: User Specified Tags that may be promoted to managed metadata over time.

Unstructured

Manage Content Lifecycle

Audit Log Reporting

Records Declaration

Once you know when a file becomes a

record, you can determine how best to

configure SharePoint to host that record.

• In Place Approach

• Archive Approach

SharePoint Records Management

Best Practices for Success!

• Plan Well Upfront! (True for any Records

Technology)

• Implement in Phases and Stages

• Approach with Integrated Governance

• Develop a solid communications plan.

Find a Balance

Comfort Control

Thank you!

Twitter:

@amandaperran

Email:

aperran@platoconsulting.com