Building a Records Management System in SharePoint 2010

Agenda

• Understand Your Business• ECM Assessment Project• What is a Record?• Records Architecture• Build RM in SharePoint• Decision Points

About the Speaker

• Bill English, MVP– 11 years as a SharePoint Server MVP– Author on 14 books (whew!)– Co-Owner of Mindsharp and the Best Practices Conference – Blog: sharepoint.mindsharpblogs.com/bill– Twitter: @minnesotabill– LinkedIn: Bill English– Email: bill@mindsharp.com– Current Position: CEO of Mindsharp– Hometown: Maple Grove, MN

• Latitude: 45.129793; Longitude: -93.47391

Who is Mindsharp?

Best Practices

Training

ConferencesIndustry

Leadership

The Only Peer-Sharing SharePoint Conference for Business Leaders & Stakeholders

May 15-17, 2013

Minneapolis

What is Minnesota Known For?

Snow!

Cold!

Vikings!

Not the Packers!

Summer: 6 Best Days/Year!

UNDERSTAND BUSINESSSection I

ECM ASSESSMENTSection II

ECM Architecture Assessment

WHAT IS A RECORD?

National Institutes of Health

Records management means the planning, controlling, directing, organizing, training, promoting, and other managerial activities involved with respect to records creation, maintenance, use, and disposition in order to achieve adequate and proper documentation of the policies and transactions of the Federal Government and effective and economical management of agency operations.

ARMA

A record is recorded information that supports the activity of the business or organization that created it. It can take the form of:• paper documents such as a hand-written memo

or a hardcopy report• electronic records such as databases or e-mail• graphic images such as drawings or maps;

these may be in photographic, electronic, or hard-copy formats

International Standards Organization

• ISO 15489: “information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business”.

BUILD YOUR RECORDS ARCHITECTURE

• Information Architecture & Design Overview

Information Design per “group”

Governance & Maintenance

MMS Hub DesignContent Types Development

Findability & Putability ToolsDevelopment

Information Architecture

Ledger $£€

Software

GAAPSEC

Tagging

InformationDatabases

Files Docs

Web 2.0

Compatible

Use of ToolsFind it!

Better ROI on InformationBetter ROI on Microsoft Investments

Global Taxonomy(Global MMS Hub)

Architecture vs. Design

Architecture• Based on Information-

Type Taxonomy• Articulation of the

software platforms• Platforms tied to one or

more information types– All types articulated– No orphans

• Transparent to end-user

Design• Global & Federated

taxonomies• Input forms and tools• Governance • Content Lifecycles• Indexing topology and

Search tools

Pragmatic Decisions

• Documents a Decision• Documents a change in corporate

governance• Documents a process• Documents compliance to

– Process– Government law or regulation

• Documents illegal or legal behavior

Pragmatic Decisions

• Documents an action that relates to an investigation or review

• Documents a change in policy• Documents HR enforcement action• Documents a contract or agreement• Documents thought history to a decision• Documents a corporate board action

Pragmatic Decisions

• Documents a critical event• Documents risk management efforts• Who declares the record?

File Plan

<Record Code>

Content Owner

Security Level

Repository

Recoverability

Tool(s)

Education

Policies

Metadata (Descriptors)

Workflow

ConsumingAudience

Content Type

Creation

Consumption

Record

Disposition

What is a Record?

• Document• Email• Video• Audio• Database (i.e. key card access)• Server logs• Past, Present and/or Future

KM According to Dilbert

29

Putability: Key to Records Management

30

What is Putability?

• Definition:– The quality of putting content in the correct

location with the correct metadata– The degree to which we put quality information

into our information management system

• Truths:– What goes in, must come out: garbage in,

garbage out– Our users will resist taking the time to put quality

information into the system (tag the content)– Findability is directly impacted by our Putability

practices

31

Who is responsible for tagging?

• Authors: 40%• Records Managers: 29%• SME’s: 25%• Anyone: 23%• Don’t know: 12%• No one: 16%• This means that many don’t know who is

responsible for tagging information to make it more findable.

• Result of not having information governance• Can’t have SharePoint governance without IG

32

Putability Pushback

• No time to enter metadata• Don’t want to worry about where a

document is• I wasn’t hired to manage information• This is IT’s job• I don’t want to be responsible if I enter the

wrong metadata• I don’t see the need, so why do it?

Personal vs. Business Devices

• How do people manage electronic records?

• How do people access records?

Roles & Responsibilities

• Who• When• Where• How• What• Why

35

Putability is the Key to Records Management

SharePoint Elements

1. MMS

2. Content Types

3. Administration

4. Records Center

5. Routing web part

6. In Place Records

7. Information Policies

37

BUILDING RECORDS MANAGEMENT IN SHAREPOINT

Demo

DEMO

Decision Points

• Define roles & responsibilities• Define business & personal platform use• Define what a record is• Define how a record is declared• Define when a record is declared• Define lifecycle once a record is declared

RM Stakeholders

• Legal• Process• Managers• Users• Executives• *Everyone*