sharepoint as a records management system · sharepoint as a records management system how the...
TRANSCRIPT
SharePoint as a Records Management SystemSession 8.1
October.28.2014
Slide 3
www.sharepointsummit.org
Speaker Introduction
Introduction
Saguenay ( Sag ) BarussSenior Solutions Architect, AvePoint Client Services
[email protected]/in/sbarusswww.sapling.ca/blog@SBaruss
10+ years of experience as an enterprise architectBased in Calgary, AB
Slide 4
www.sharepointsummit.org
Session Overview
Introduction
This session is intended for organizations that have made a significant investment in SharePoint and have a requirement to provide enterprise records management.
This is a 200 / 300-level session intended for the Business Leadership, Information Architects, Business Analysts, IT Managers, and Senior IT Professionals responsible for the management of critical data and / or corporate records.
Slide 5
www.sharepointsummit.org
Session Objectives
Introduction
To understand the requirements of an enterprise records management system.
To consider the capabilities of SharePoint as a records management system.
To discuss strategies for extending SharePoint from a collaboration system to a records management system.
Slide 6
www.sharepointsummit.org
Session Agenda
Introduction
Introduction 5 min
Understanding Records Management
SharePoint as a Records Management System
Implementing SharePoint-Based Records Management
Case Study
Closing Thoughts 10 min
10 min
20 min
10 min
10 min
Slide 7
Understanding Records Management
Section 2
Slide 8
www.sharepointsummit.org
What is a Record?
Understanding Records Management
“A record is a document or other electronic or physical entity in an organization that serves as evidence of an activity or transaction performed by the organization.”
Reference: http://technet.microsoft.com/en-us/library/cc261982%28v=office.15%29.aspx
Slide 9
www.sharepointsummit.org
What is Records Management?
Understanding Records Management
Records management is the process by which an organization:
• Determines what kinds of information should be considered records.
• Determines how active documents become records.
• Determines how long each record should be retained.
• Ensures compliance with records management obligations.
• Protects, locates, and provides records as required.
• Disposes of records which have expired.
Slide 10
www.sharepointsummit.org
Requirements of a Records Management System
Understanding Records Management
Provide reliable storage for each record, including in the event of a failure or disaster.
Index records and provide mechanisms for the location, access and retrieval of records.
Provide appropriate disposal of expired records.
Support the controlled override of disposal policies.
Provide a secure audit trail of all activities occurring for each record and within the
system in general.
Provide a mechanism for ingesting items identified as records.
Uniquely identify each record.
Associate contextual information ( metadata ) with each record.
Support the classification and grouping of records.
Assign retention and disposition rules to each record.
Insure the integrity of each record by preventing unauthorized access and modification.
Slide 11
SharePoint as a Records Management System
Section 3
Slide 12
www.sharepointsummit.org
Functionality Provided by SharePoint
SharePoint as a Records Management System
Content types and managed metadata
Record Center site template
In-place records management
Workflow
Retention policies
Search
eDiscovery
‘Vault’ capability
Audit collection
Slide 13
www.sharepointsummit.org
SharePoint ‘Gaps’
SharePoint as a Records Management System
Lack of certification.
Single administrator.
Limited retention policies.
Lack of native scalability.
Insufficient data protection.
Auditing and reporting is difficult.
No systems management.
Limited automation of governance and administration activities.
Slide 14
www.sharepointsummit.org
In-Place vs Centralized Records Management
SharePoint as a Records Management System
WA
Content
DatabaseSC
Site
DL
Folder
Folder
Folder
Folder
DL
Folder
Folder
Content
DatabaseSC
Site
DL
Folder
DL
WA
Content
DatabaseSC
Site
DL
Folder
Folder
Folder
Folder
DL
Folder
Folder
Content
DatabaseSC
Site
DL
Folder
DL
Slide 15
www.sharepointsummit.org
Selecting an Option
SharePoint as a Records Management System
Centralized management and administration.
Search complexity.
Dedicated storage repository.
Backup / restore / DR / HA.
Simplicity of declaring records.
Expected frequency of access.
Regulations requiring the isolation of records.
Propagation of retention policies.
Is restricted access required.
Site lifecycle.
Version history.
Slide 16
www.sharepointsummit.org
Integrating with External ECM Systems
SharePoint as a Records Management System
How the integration works.
Expiration / semi-active documents.
‘Send to’.
Single sign-on.
Content type and metadata mapping.
Search integration.
Cross-system backup / restore.
Preservation of audit trail.
Slide 17
Implementing SharePoint-Based Records Management
Section 4
Slide 18
www.sharepointsummit.org
Prerequisites
Implementing SharePoint-Based Records Management
Business commitment.
Technical leadership.
Enterprise-class infrastructure and management systems.
Information management.
Governance framework.
Slide 19
www.sharepointsummit.org
Expected Changes
Implementing SharePoint-Based Records Management
Longer retention of content.
Increased capacity requirements.
Increased rigor around security and permissions management.
More complex business processes.
Increased emphasis on data protection and systems management.
Increased governance activity.
Greater visibility around SharePoint.
Higher complexity around maintenance and upgrades.
Slide 20
www.sharepointsummit.org
Methods of Declaring Records
Implementing SharePoint-Based Records Management
Manual declaration.
Declaration through a defined policy.
Workflow-based declaration.
Declaration through custom solutions.
Slide 21
www.sharepointsummit.org
Extending SharePoint for Records Management
Implementing SharePoint-Based Records Management
Deploying retention and disposition policies.
Extending security, permissions management, and auditing.
Revisiting the physical and logical architecture of SharePoint.
Ensuring underlying infrastructure components will support records management initiatives.
Implementing one or more Record Centers.
Extending information management to accommodate the tagging and classification of records.
Extending managed metadata and content types.
Developing additional policies and procedures required to support.
Slide 22
www.sharepointsummit.org
Supplementing SharePoint
Implementing SharePoint-Based Records Management
Enterprise backup solution.
Systems management and operational monitoring.
Audit collection and reporting.
Security management and policy enforcement.
External vault capabilities.
Automation of governance and administration activities.
Advanced retention and disposition engine.
Content externalization.
Automated change and release management.
Slide 23
www.sharepointsummit.org
A Sample SharePoint Implementation Roadmap
Implementing SharePoint-Based Records Management
[ ]
Slide 24
Case StudySection 5
Slide 25
www.sharepointsummit.org
Company Profile
Case Study
Global industrial manufacturing and production organization.
160,000 employees in more than 60 countries.
Sales in 2012 / 2013 fiscal year exceeding $20 B.
5 major business areas.
Very sophisticated engineering and manufacturing capabilities.
7x24 operations.
Slide 26
www.sharepointsummit.org
Technology Footprint
Case Study
Multiple geographically distributed tier 3 data centres.
Global ERP and core services.
Business-unit-specific technologies.
Regionalized directory services.
Both paper-based and electronic records management.
Small SharePoint implementation for one of the business units.
Slide 27
www.sharepointsummit.org
Records Management Objectives
Case Study
Business-unit-specific records management.
Implemented a digital ‘Business Management System’ for the management of critical business assets.
Strategic transition from paper-based records management to digital records management.
Subject to more than 10 different regulatory and industry standards.
Slide 28
www.sharepointsummit.org
The Records Management Journey
Case Study
Document numbering and identification system.
Record Retention Schedule containing over 350 different types of records.
Custodians and retention requirements identified for each type of record.
Tagging and classification system developed.
Business and IT processes created.
Governance framework established to accommodate for changes.
Mechanism for introducing legal hold.
Slide 29
www.sharepointsummit.org
Retention Examples
Case Study
2 years from the date of making the record or the personnel action involved, whichever occurs later
The duration of the patent + 6 years
10 years after filing the report
Destroyed within 30 days
5 years from exportation or any known re-export
4 years
1 year after expiration
While active
Greater of 40 years or duration of employment + 20 years
Current year + 5 years
Indefinitely
While active, then + 10 years
Slide 30
www.sharepointsummit.org
Challenges
Case Study
Access and distribution.
Enforcement of retention periods.
Ensuring content is declared as records and added to the BMS.
Ensuring interim versions are destroyed.
Consistent tagging and classification.
Controlling the distribution of copies.
Multi-generational retention.
Meeting legal / regulatory requirements.
Storage of physical records.
Slide 31
Closing ThoughtsSection 6
Slide 32
www.sharepointsummit.org
Session Objectives Revisited
Closing Thoughts
To understand the requirements of an enterprise records management system.
To consider the capabilities of SharePoint as a records management system.
To discuss strategies for extending SharePoint from a collaboration system to a records management system.
Slide 33
www.sharepointsummit.org
Common Pitfalls
Closing Thoughts
Lack of business and technical leadership.
The inability to prove compliance.
Looking at records management as a technology problem.
The inability to implement and enforce policies.
Becoming dependent on manual processes.
Inconsistency.
1
2
3
4
5
6
Slide 34
www.sharepointsummit.org
Keys to Success
Closing Thoughts
Understand the capabilities and limitations of SharePoint.
Developing a governance framework that supports iterative improvement.
Being realistic about the amount of work required.
Get the tagging and classification of content ‘right’ the first time.
Being prepared to support upgrades and content migration.
Optimize underlying infrastructure to align with information management and retention policies.
1
2
3
4
5
6
Slide 35
www.sharepointsummit.org
Suggested Next Steps
Closing Thoughts
Start with your regulatory and legal obligations.
Make sure your information management framework supports tagging and classification you require.
Understand and classify your content.
Establish ( and document ) your record retention schedule.
Invest in governance.
Review the alignment between information management and your underlying infrastructure.
1
2
3
4
5
6
Slide 36
www.sharepointsummit.org
A Final Word of Caution
Closing Thoughts
“Never in all history have we harnessed such formidable technology. Every scientific advancement known to man has been incorporated into its design. The operational controls are sound and foolproof”
- E. J. SmithCaptain of the Titanic -
Slide 37
www.sharepointsummit.org
Questions
Closing Thoughts
Slide 38
Additional InformationAppendix A
Slide 39
www.sharepointsummit.org
Acknowledgements
Additional Information
Thank-you to the following individuals and groups for your contributions to this presentation:
Presentation Structure and Content: - Julie Liu- Paul Olenick- Randy Williams- Tony Litvak
Graphics and Icons: - AvePoint- DryIcons.com
Slide 40
www.sharepointsummit.org
Additional Reading
Additional Information
http://office.microsoft.com/en-us/sharepoint-server-help/introduction-to-the-records-center-HA101665489.aspx
http://www.irmt.org/documents/assessment%20tools/financial_mgmt/IRMT_GapAnalysisTool.doc
http://www.scribd.com/doc/3211187/Requirements-for-Electronic-Records-Management-Systems
http://www.epa.gov/records/tools/erks.htm
http://technet.microsoft.com/en-us/library/cc261982%28v=office.15%29.aspx
http://technet.microsoft.com/en-us/library/ee424394%28v=office.15%29.aspx
http://technet.microsoft.com/en-us/library/cc261708%28v=office.15%29.aspx
http://technet.microsoft.com/en-us/library/cc263464%28v=office.15%29.aspx