Enhancing Document and Records Management with SharePoint 2010

1. SharePoint 2010 Document and Records Management February 2013

2. Why SharePoint? • Accountability issues with network shares • Microsoft shop – Microsoft platform • ‘Single source of truth’ with unique, persistent IDs, versioning, audit trails, workflows - OOTB • ‘Local’ access/permission controls • Legal compliance/retention and disposal • Search • Integration with Office / metadata • However … there are issues

3. DRM ‘foundation’ elements • Standards - AS ISO 15489 (RM), ISO 16175 (EDMS) • Policies/procedures • DRM Policy • Records Retention Schedules • Governance • Technical architecture • DRM design

4. Governance Overview Source: http://technet.microsoft.com/en-us/sharepoint/ff800826.aspx

5. Governance Plan • Microsoft template • Objectives • Roles and responsibilities (team/individual) • Architecture overview (diagram) • ‘Policies’ (Purpose/why, defined by/owner, policy statement, considerations)

6. Technical Architecture DRM area DRM area can include http://projects/ and http://app/ using different site template Source: http://technet.microsoft.com/en-us/library/cc263199(v=office.14).aspx

7. Two environments DRM ‘Team Site’ environment Publishing/intranet environment Links E X A M P L E • Open access to everyone • Stores copies of documents or links • Customised look and feel • Controlled, limited access • Stores original documents with doc IDs, versioning, audit trails • Out of the box template

8. DRM Architecture single-farm, multiple service model

9. DRM Architecture • Microsoft model • Future state (objective) • DRM principles / business requirements • Containmentdesign (SCs) • Users and permissions • Containerdesign • Metadata • Search • Information Management policies

10. DRM ‘Core’ • Managed Metadata Service • Centralised, accessible across farm • Business classification scheme, document types • Metadata columns can also be applied locally • Content Type Hub • Content Types (Metadata, IM policies) • Content Type Organiser • Records Centre (‘Send to Records Centre’ enabled)

11. DRM Site Collection Limits • Guides Site Collection decisions • 100 GB recommended by Microsoft • ((D x V) x S) + (10 KB x (L x (V x D)) • Where: D = the number of documents (assume average 20 per user); V = the number of non-current versions; S = the average size of documents (assume 250 KB); L = the number of list items (assume 60 per user).

12. DRM Site Collections • DRM ‘Foundation’ • Records Centre • Central metadata • Records Mgt • Standard settings inc. versioning Site Owners / Contributors Site Visitors Site Owners / Contributors Site Visitors

13. DRM Site Collections Management HYPERLINKS Sub-group Sub-group Sub-group Sub-group

14. DRM ‘mud map’

15. Enabled Site Collection Features • Advanced Web Analytics • Disposition Approval Workflow • Document ID service • Document Sets • In Place Records Management (NOT enabled) • Library and Folder Based Retention • Office Web Apps • SharePoint Server Publishing Infrastructure • SharePoint Server Standard Site Collection features • Three-state workflow • Workflows

16. Users/permissions • Farm Administrator • Site Collection Administrator • Site Owner • Receives 3 hours training, high focus on access/security • Responsible for end user training & help • Site Contributor/Member • Add/edit • Quick Guides • Site Visitor

17. Standard OOTB sites

18. Navigation Really helpful for Site Owners to have this

19. Container design (1) • ContentTypes • Not so many • Minimal metadata inc MMS • Include first stage retention rules • Local site metadata added • Rule added to CT Organiser (if required)

20. Container design (2) • Library settings • Site Owners can create Libraries • Content Types enabled (add from CT Hub) • Folders disabled • Versioning enabled • Document Sets added (as required) • Columns added (as required)

21. Container design (3) • Library document aggregation options • No aggregation • Categorisation based on locally managed (or MMS) lists • Document Sets

22. Container design (4) • Columns, metadata, views • Custom lists with site-relevant metadata • Columns added locally by Site Owners to Content Types • Custom columns • Multiple views

23. IM Policies • In Content Types or libraries/folders • Two stage retention • On-site n years then destroy or move to Records Centre via Content Organiser or Send to / Drop off • Records Centre • ‘In Place’ records management – context kept • Role of metadata in CT Organiser • Records Centre via CT Organiser (see over) • SharePoint 2013 differences

24. In Place Records Management • NOT using ‘Declare as Record’ • Via Content Type IM Policies NOT library/folders

25. Content Type Organiser Rules • Rule name • Rule status & priority • Submission’s Content Type • Conditions (multiple) • Target Location

26. DRM functionality

27. DRM workflows

28. Audit Trails on Content Types • Must be enabled and Content Types made available in Libraries • Only different items here will be audited (on top of Site Collection settings)

29. Audit Trails in Site Collections • Trim period set at Farm level (default setting) • Site Collection option to save when ‘trimmed’

30. Audit Trails - Reporting • Summary • Details

31. Metadata issues • Document (and email) ‘native’ metadata not captured in list columns – e.g., ‘Date Created’ • However, document/email retains original metadata • SP metadata ‘Date Created’ starts again when document is moved to Records Centre

32. Records Centre issues • Loss of metadata • Loss of previous versions • However, document ID is retained and leaves hyperlink stub

33. Disposal issues • On-site vs ‘Send to Records Centre’ • Review first, not just delete • Site Collection feature • Export metadata to spreadsheet before deleting to keep metadata

34. Email issues • Only real option is save email to drive, save to SharePoint library • SharePoint 2013 Site Mailboxes – not quite there • See: http://www.scinaptic.com/sharepoint-2013-site-mailboxes.html

35. Thanks