Success with SharePointRecords Management
Shawn Cosby| Kevin Bley
Today’s Agenda
Introduction
8 Things You Need for SuccessfulRecords Management in SharePoint
How RecordLion Resolves Issues
Summary
Q & A
#1
“By failing to prepare, you are preparing to fail.”
- Benjamin Franklin
A. Record Declaration Overview
B. Overview
C. SharePoint File Plan
D. RecordLion File Plan
Create and Manage Your File Plan
Record Declaration Overview
Unclassified
• You know it exists
• No policies
Non Records
• Classified
• Potential Records
• Uniform Policies
• In Place
Records
• Manually Declared
• Auto Declared
• Formal Disposition
• In Place or Record Center
Examples
• Classification Exceptions• Personal Emails• Unnecessary Documents
Examples
• Working Documents• General Emails• Records to be declared later
Examples
• Important Records• Archived Records• Emails moved to RMS
File Plan Overview
A document or a way to document the retention schedules for all your information.
Your Records Manager should create and maintain your File Plan
You must publish your File Plan
File Plans should include a trigger, retention period and disposition information
Many File Plans also include security, privacy and location
SharePoint File Plan
File Plan and Taxonomy are the same
You can export a report
Information Policy Retention Feature:
Date Property for Trigger
Retention Time Period
Retention Action
Need Help Getting Started?
http://blog.recordlion.com/file-plan-template/
No formal File Plan
No detailed audit reporting outside of the Records Center
RecordLion and File Plans
#2
A. Site Collections
B. Sites
C. Libraries
D. Folders
E. Content Types
F. Records Center
Create Taxonomy
Organization
• Common security, privacy and administrative concerns
Site Collections
• Security can be applied by site but users still might know those sites exist
• Use to separate products, departmental groups or business units
• Best Practice: Subscribe to a Content Type Publishing Hub
Sites
• Do not use lists with attachments
• Avoid picture libraries
• Best Practice: avoid Item Level Security
Document Libraries
• Allows information policies to move with document
• Use Content Type Publishing
• Best Practice: as few as possible
Content Types
What About the Records Center
Records or Non Active Documents
Enable Document IDs
Policies assigned to Libraries
Use the Content Organizer
#3
A. Content Organizer
B. Location Based Classification
C. Technology To Consider
D. Issues
Design Classification
Classification Overview
Classification assigns information to a specific class of content which should be related to policies.
Creates defensible policy assignment
Simplifies searching
Reduces cost of eDiscovery
Content Organizer
• Route content based on Metadata
• Metadata foldering (great for handling case files)
http://blog.recordlion.com/sharepoint-content-organizer/
Location Based Classification
Drag and drop on browser
Drag and drop using Synced Libraries (also OneDrive Business)
Upload from library
Potential Governance Risk
Technologies to Consider
Meta Data
• File Names
• Folder Names
• EDMS Properties
• Document Properties
Content
• “Reads” content
• Office Documents
Visual
• Looks at pixels
• Images/Forms
• Patterns
Template
• Zones
• OCR
• Barcodes
• Images or Text
Classification Issues
No Automatic Document Classification
• Meta Data Extraction
• Classification for Content Types
No Email Classification
• Move to SharePoint?
• Leave in Exchange?
No Meta Data Classification
• Forces too many Content Types
RecordLion Content Rules Engine
#4
A. The Value of Information
B. Information Management Policies
C. Site Retention
D. Issues
Create RetentionPolicies
Retention Overview
Retention is a component of a file plan. Specifically it specifies how long after an event before disposition takes place.
What drives retention periods?
Industry regulations FINRA, SOX
Corporate policies
Local, state and federal laws
IRS, DOL
File Plans should include a cutoff event, retention period and dispositioninformation
Information Value Declines Over Time
Business Need Regulator Need (TAX) No Need
InformationValue
Office Documents
Product Research
Sales/Customer
HR
Financials
Messaging/Social
IT Cost
Risk
Risk-to-Value Gap
Cost-to-Value Gap
Assigning Policies
Site Based Retention• New for SharePoint 2013• Use with self-service site creation• Site closure is a new concept – hidden but
not deleted yet• When the site is delete then the site mailbox
is deleted from Exchange
Retention Issues
No Case Based Retention
• Need to dispose all related documents(ex. Employee Files, Tax Records, Loan Files)
No Event Based Retention
• Required for cases
• Date column retention is not enough
• Custom policies require experienced developer
• Difficulty: HARD
RecordLion Retention
#5
A. Review and Approval
B. Complete Destruction of Content
C. Transfer
D. Audit Trail and Reporting
Build Disposition Processes
Review and Approval
1. Create SharePoint Workflow(s)
User AD Groups
One step for each approval group
Difficulty: MEDIUM
2. Set Stage Action to Workflow
Complete Destruction of Information
Empty the Recycle Bin!
If Forensic Destruction is needed:
Use RBS (Remote Blob Storage)
Do NOT allow OneDrive for Business
What about your tape and other backups?
Transfers
SharePoint can transfer to other SharePoint locations
Moving from Active to Archive (for example)
Difficulty: HARD
Difficulty: HARD
Transfer outside of SharePoint
Transfer to NARA (National Archives)
Audit Trail and Reporting
Only Records Centers store enough audit information for disposition.
Content Auditing
SharePoint does NOT have records management reporting capabilities.
SharePoint can export basic auditing to Excel Spreadsheets
This WILL slow your system down
RecordLion Disposition
#6
A. Records vs. Non Records
B. SharePoint vs. Exchange Retention
C. Moving Records to SharePoint
Consider EmailRetention
Records vs. Non Records
Consider using Microsoft Exchange for Uniform Retention
Use for mailboxes
Use for folders
Move Records to SharePoint
Best to store similar records in the same location if possible
Non uniform retention is difficult in Microsoft Exchange
http://blog.recordlion.com/dawn-garcia-ward-what-to-do-about-emails/
SharePoint vs Exchange Retention
SharePoint
Policy driven based on Location or Content Type
Different types of data can share policies
Exchange
Retention is normally “uniform” across all Email
Retention tags are used for individual folders
Retention tags can be applied by users
Personal tags require an Exchange Enterprise CAL
Moving Email Records to SharePoint
Exchange Server Based Solution
Custom solution to apply directly on Exchange Folders
Users will drag and drop Emails into folders
Custom Meta data is not possible
Outlook Client Based Solution
Outlook add-in to manually move
Outlook add-in to apply custom Meta data
Microsoft does NOT provide this capability
#7
What happened to the paperless office?
A. Organization
B. Considerations
Manage Physical Records
Organization
Match to Physical Locations
• Use Sites/Libraries/Folders
• By Record Type
• By Date (typically year)
• Organizational/Departmental
• Use stub file to designate physical item
Use electronic filing structures
• Unify with electronic records
• Use Meta data to determine location
• Use stub file to designate physical item
Considerations
• Iron Mountain
• Recall
• The File Room
Do you need integration into commercial records centers
• Chain of Custody
• Request / Fulfill
Do you need to track files (boxes)?
• SharePoint solution is NOT for Physical Records Management
Produce Barcodes and Labels
RecordLion Physical Containers
#8
Legal holds in SharePoint work great… but can you find the right information?
A. Classification
B. eDiscovery Center
C. Records Centers
Create Legal Holds & eDiscovery
Legal Holds Overview
Suspending the normal disposition of information when it is reasonably expected.
Legal holds can protect you from spoliation fines or in some cases, incarceration
Legal holds should suspend the information management policies
Legal holds should lock information from further editing
Identifying the correct information is key to successful legal holds
Legal holds are required for present and future information
eDiscovery Center
• Each is a new site in the eDiscovery Center
Cases = Sites
• eDiscovery Center is it’s own Site Collection
• Consider Security and Data Privacy
Search across Site Collections
• Find and Hold SharePoint items in Place
• Find Hold Exchange items in place
• Deleted items moved to a secure location
Identify and Hold
• Export SharePoint items
• Export Exchange items
Search and Export
Records Center
Search Items Only in Records Center
Hold Items Only in Records Center
In Place or Export
Considerations
Who will be allowed to create Legal Holds?
Who will be allowed to release Legal Holds?
Will you hold information In-Place or make copies?
What about your other Information?
Call To Action
1. Create a File Plan2. Create Taxonomy3. Determine Classification Process4. Create Retention Policies5. Create Disposition Processes6. Determine Email Policies7. Handle Physical Records8. Create Legal Hold Processes and
eDiscovery Practices
RecordLion Can Help!
Q&AWebsitehttp://www.recordlion.com/sharepoint-records-management
Bloghttp://blog.recordlion.com